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Northland Securities
Minneapolis, MN, USA
Apr 12, 2026
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At Northland, our employees are the heart of our story—and we’re committed to their success! Please see below the details of this career opportunity and how it fits into our organization’s success. Summary of the Job: This role will support the Firm’s compliance program to ensure employees and Northland comply with industry regulations and company policies. The ideal candidate will have an established understanding of broker-dealer FINRA, SEC and MSRB regulations and compliance requirements, preferably in Fixed Income Markets or Equity Capital Markets. About This Role: Develop, maintain and execute most aspects of onboarding and offboarding employees. Manage activities relating to Northland conflicts of interest program, including the annual employee certification process, periodic attestations, social media, gifts and entertainment reporting, political contribution activities, outside business...
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