Job Title: Vice President, Compliance

Location: New York, NY

Reports to: Head of Compliance

Firm: uSmart Capital LLC (FINRA-member Broker-Dealer)

About the Role

uSmart Capital LLC is seeking a highly motivated and detail-oriented Vice President of Compliance to support the firm's regulatory, supervisory, and risk management responsibilities. This role is critical to ensuring our compliance framework is robust and appropriately scaled for our expanding operations in sales, trading, and investment banking.

You will work directly with the Head of Compliance and collaborate cross-functionally with senior leadership, front-office personnel, operations, and legal to ensure that our policies, procedures, and daily practices align with all relevant FINRA, SEC, and other applicable regulatory requirements.

Key Responsibilities

Serve as day-to-day compliance lead for broker-dealer activities, with particular focus on:

Equity sales and trading (institutional and retail)

Investment banking (including private placements and public offering participation)

Supervise and review communications with the public, marketing materials, and pitchbooks for compliance with FINRA Rule 2210 and SEC regulations.

Conduct and oversee trade surveillance and employee trading reviews, identifying and escalating any irregularities.

Review and approve new client and product onboarding from a compliance and regulatory perspective.

Assist in maintaining and updating the firm's Written Supervisory Procedures (WSPs).

Coordinate and support responses to FINRA/SEC examinations, audits, and inquiries.

Lead annual and ongoing regulatory training for sales, trading, and investment banking teams.

Assist with Reg BI compliance and other client suitability assessments.

Liaise with external counsel and regulatory bodies as needed.

Provide leadership, mentorship, and guidance to junior compliance staff as the team grows.

Required Qualifications

FINRA Series 7, 24, and 79 licenses (active or within immediate reach).

Minimum 5 years of experience in broker-dealer compliance, including experience supervising sales/trading or investment banking teams.

Strong knowledge of FINRA, SEC, and MSRB rules (especially Rules 3110, 2210, 2241, 5123, Reg M, Reg BI, etc.).

Familiarity with ATS, omnibus relationships, clearing, and new product approvals is a plus.

Ability to work in a fast-paced, entrepreneurial environment with a global context.

Preferred Attributes

Proven track record working with both institutional and retail broker-dealer models.

Experience helping to build or scale compliance frameworks within a growing firm.

Exceptional communication, judgment, and documentation skills.

Strong ethical compass and ability to manage regulatory risk pragmatically.

Compensation

Competitive base salary + performance bonus, commensurate with experience. Healthcare, 401K and other beneifits.

• Must have active state license
• BC or BE required
• Weekdays, Days, No call
• 100% adult outpatient
• 15 - 20 patients per day
• Thyroid and biopsies required and must be comfortable seeing diabetes pump patients
• DEA needed
• We negotiate better pay and deposit it weekly
• We arrange complimentary housing and travel and comprehensive malpractice coverage
• We simplify the credentialing and privileging process
• Access to online portal for assignment details and time entry
• Your specialized recruiter takes care of every detail

From $190.00 to $230.00 Hourly
Ranges shown should be used as an estimate and are affected by many factors including the critical need of the position, your overall experience and qualifications, and other considerations. Please reach out to your consultant for more information.
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• We arrange complimentary housing and travel and comprehensive malpractice coverage
• We simplify the credentialing and privileging process
• Access to online portal for assignment details and time entry
• Your specialized recruiter takes care of every detail

From $200.00 to $275.00 Hourly
Ranges shown should be used as an estimate and are affected by many factors including the critical need of the position, your overall experience and qualifications, and other considerations. Please reach out to your consultant for more information.
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• Week-long rotational schedule
• Inpatient hospital setting
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• We negotiate better pay and deposit it weekly
• We arrange complimentary housing and travel and comprehensive malpractice coverage
• We simplify the credentialing and privileging process
• Access to online portal for assignment details and time entry
• Your specialized recruiter takes care of every detail

From $200.00 to $275.00 Hourly
Ranges shown should be used as an estimate and are affected by many factors including the critical need of the position, your overall experience and qualifications, and other considerations. Please reach out to your consultant for more information.
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• Monday to Friday schedule 6:30am - 4:30pm
• 25 - 26 operating rooms running daily
• Mix of cardiac, open heart, general surgery, and thoracic cases
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• No call responsibilities
• Minimum 2-week assignments
• Coverage includes vascular and healthy pediatric cases
• We negotiate better pay and deposit it weekly
• We arrange complimentary housing and travel and comprehensive malpractice coverage
• We simplify the credentialing and privileging process
• Access to online portal for assignment details and time entry
• Your specialized recruiter takes care of every detail

From $300.00 to $400.00 Hourly
Ranges shown should be used as an estimate and are affected by many factors including the critical need of the position, your overall experience and qualifications, and other considerations. Please reach out to your consultant for more information.
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• Monday - Friday 6:30am - 4:30pm with no call
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• High acuity patients with ASA 3+ common
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• 2 - 3 weeks per month availability accepted
• Variety of surgical specialties including orthopedics and vascular
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• Paid malpractice insurance; pre-paid travel and housing expenses
• Assignment details and time entry in online portal
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• Charter member of NALTO

From $300.00 to $400.00 hourly
Ranges shown should be used as an estimate and are affected by many factors including the critical need of the position, your overall experience and qualifications, and other considerations. Please reach out to your consultant for more information." Read Less

• Monday - Friday 6:30am - 4:30pm schedule
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• No call responsibilities
• Cardiac fellowship and TEE certification required
• Full scope of general surgery and subspecialties available
• Paid malpractice insurance; pre-paid travel and housing expenses
• Assignment details and time entry in online portal
• Competitive compensation
• 24-hour access to your Weatherby Healthcare consultant
• Charter member of NALTO

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Ranges shown should be used as an estimate and are affected by many factors including the critical need of the position, your overall experience and qualifications, and other considerations. Please reach out to your consultant for more information." Read Less

Medicus has partnered with a leading medical center in northwestern New York with an exclusive opening for a CRNA to provide locum coverage.

Opportunity Details:

• Schedule: Monday-Friday, 12-hour shifts
• No weekend or call shifts
• No OB, hearts, or liver transplants
• Trauma experience required
• 1:3 or 1:2 supervision
• EMR: Epic
• Must be board-certified
• Paid travel & expenses

During your time off, explore a museum honoring a photography pioneer, stroll through vibrant neighborhoods filled with murals and public art, and enjoy waterfalls cascading through the heart of the city.

If you are interested, please apply to learn more.

CRNA - 61418

Medicus Healthcare Solutions is the 4th largest locum tenens staffing firm in the United States. We have been partnering with top talent in the healthcare industry since 2004. Our team will work with you to find the best opportunity that fits your profile as well as your professional goals, needs, and lifestyle preferences.

• Willing to wait for license
• BC or BE required
• Weekdays, Days
• ACLS, BLS and PALS required
• Need coverage for 3 - 4 weeks
• General anesthesia, labor & delivery and GYN
• Credentialing needed
• DEA needed
• We negotiate better pay and deposit it weekly
• We arrange complimentary housing and travel and comprehensive malpractice coverage
• We simplify the credentialing and privileging process
• Access to online portal for assignment details and time entry
• Your specialized recruiter takes care of every detail

From $300.00 to $400.00 Hourly
Ranges shown should be used as an estimate and are affected by many factors including the critical need of the position, your overall experience and qualifications, and other considerations. Please reach out to your consultant for more information.
CompHealth JOB- Read Less

• Willing to wait for license
• BC or BE required
• Weekdays, Days
• ACLS, BLS and PALS required
• General anesthesia, labor & delivery and GYN
• Credentialing needed
• DEA needed
• We negotiate better pay and deposit it weekly
• We arrange complimentary housing and travel and comprehensive malpractice coverage
• We simplify the credentialing and privileging process
• Access to online portal for assignment details and time entry
• Your specialized recruiter takes care of every detail

From $300.00 to $400.00 Hourly
Ranges shown should be used as an estimate and are affected by many factors including the critical need of the position, your overall experience and qualifications, and other considerations. Please reach out to your consultant for more information.
CompHealth JOB- Read Less

• Must have active state license
• BC or BE required
• Weekdays, Days, No call
• ACLS and BLS required
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• Procedures are based on providers comfort level
• Credentialing needed
• DEA needed
• We negotiate better pay and deposit it weekly
• We arrange complimentary housing and travel and comprehensive malpractice coverage
• We simplify the credentialing and privileging process
• Access to online portal for assignment details and time entry
• Your specialized recruiter takes care of every detail

From $300.00 to $400.00 Hourly
Ranges shown should be used as an estimate and are affected by many factors including the critical need of the position, your overall experience and qualifications, and other considerations. Please reach out to your consultant for more information.
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Are you a Anesthesiologist searching for your next exciting locum tenens opportunity? This position with one of VISTA's healthcare partners in New York might just be the opportunity for you!

Opportunity Highlights

• Schedule: Monday‐Friday, 8‐10 hour days, No call
• Job Setting: Inpatient
• Type of Cases: General anesthesia, light pediatrics, obstetric, neuro, orthopedics, plastics
• Credentialing: 60‐90 Days

Minimum Requirements for Consideration

• Board Certification required
• Licensure: New York in hand

About VISTA Staffing
A ClearlyRated Best of Staffing Client and Talent 10‐Year Diamond Award winner, VISTA has 30 years of experience optimizing continuity of care for hospitals, medical practices and government agencies across the US. A leading provider of short‐term US locum tenens and permanent physician search services, VISTA partners healthcare providers with facilities who need them most, providing an effective strategy for lessening the impact of the global provider shortage. Our VISTA team goes above and beyond to make healthcare providers feel valued in the job search process and are committed to elevating careers to new heights.
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Are you a CRNA searching for your next exciting locum tenens opportunity? This position with one of VISTA's healthcare partners in New York might just be the opportunity for you!

Opportunity Highlights

• Schedule: Monday‐Friday, 8 hour days, No call
• Job Setting: Inpatient
• Type of Cases: Bread and Butter, OB, Ortho
• Credentialing: 60‐90 Days

Minimum Requirements for Consideration

• Board Certification required
• Licensure: New York in hand

About VISTA Staffing
A ClearlyRated Best of Staffing Client and Talent 10‐Year Diamond Award winner, VISTA has 30 years of experience optimizing continuity of care for hospitals, medical practices and government agencies across the US. A leading provider of short‐term US locum tenens and permanent physician search services, VISTA partners healthcare providers with facilities who need them most, providing an effective strategy for lessening the impact of the global provider shortage. Our VISTA team goes above and beyond to make healthcare providers feel valued in the job search process and are committed to elevating careers to new heights.
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Are you a Gastroenterologist searching for your next exciting locum tenens opportunity? This position with one of VISTA's healthcare partners in New York might just be the opportunity for you!

Opportunity Highlights

• Schedule: Inpatient rounding and call coverage, clinic on a rotational basis, weekend emergency call on a rotational basis
• Job Setting: Inpatient and Clinic
• Type of Cases: General GI
• Credentialing: 90 Days

Minimum Requirements for Consideration

• Board Certified/ Board Eligible ACG
• Licensure: New York Licensed

About VISTA Staffing
A ClearlyRated Best of Staffing Client and Talent 10‐Year Diamond Award winner, VISTA has 30 years of experience optimizing continuity of care for hospitals, medical practices and government agencies across the US. A leading provider of short‐term US locum tenens and permanent physician search services, VISTA partners healthcare providers with facilities who need them most, providing an effective strategy for lessening the impact of the global provider shortage. Our VISTA team goes above and beyond to make healthcare providers feel valued in the job search process and are committed to elevating careers to new heights.

Medicus is partnering with facilities in New York that have opportunities for Family Medicine Nurse Practitioners to provide locum coverage.

Opportunity Details:

• Schedule: 3, 6, or 9-hour shifts, flexible scheduling
• No call
• Patient Population: Adult
• Board certification required
• Paid travel & lodging

If you are interested, please apply to learn more.

FAM - 70249 - HT

Medicus Healthcare Solutions is the 4th largest locum tenens staffing firm in the United States. We have been partnering with top talent in the healthcare industry since 2004. Our team will work with you to find the best opportunity that fits your profile as well as your professional goals, needs, and lifestyle preferences.

• Night shift 6 pm - 6 am
• 8 - 15 trauma patients per day
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• OR first assist responsibilities
• Rounding in ICU and floor units for trauma service
• ER consults required
• 90% blunt trauma, 10% penetrating trauma cases
• Coverage needed for multiple weeks between August and February
• Health, vision, dental, and 401(k) retirement benefits offered
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• Paid malpractice insurance
• 24-hour access to your Weatherby Healthcare consultant and support team
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Ranges shown should be used as an estimate and are affected by many factors including the critical need of the position, your overall experience and qualifications, and other considerations. Please reach out to your consultant for more information." Read Less

A reputable hospital in western New York has an opening for an Anesthesiologist to provide overnight locum coverage.

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• Schedule: Monday-Friday, 7a-5p
• Weeknight and weekend beeper call required
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• OB cases required
• EMR: Epic
• Board certification required
• Paid travel & expenses

During your time off, stroll along scenic rail trails through the countryside or browse quaint shops and cafés in a charming downtown district.

To learn more, please apply.

ANX - 71624

Medicus Healthcare Solutions is the 4th largest locum tenens staffing firm in the United States. We have been partnering with top talent in the healthcare industry since 2004. Our team will work with you to find the best opportunity that fits your profile as well as your professional goals, needs, and lifestyle preferences.

• Monday - Friday, 7:30 am - 4 pm
• 50 cases per day
• ASA 3 - 4 patients
• Multiple specialty procedures including orthopedics, urology, and vascular
• No call requirement
• Long-term coverage opportunity
• Paid malpractice insurance; pre-paid travel and housing expenses
• Assignment details and time entry in online portal
• Competitive compensation
• 24-hour access to your Weatherby Healthcare consultant
• Charter member of NALTO

From $300.00 to $400.00 hourly
Ranges shown should be used as an estimate and are affected by many factors including the critical need of the position, your overall experience and qualifications, and other considerations. Please reach out to your consultant for more information." Read Less

Year Up United is a one-year or less, intensive job training program that provides young adults with in-classroom skill development, access to internships and/or job placement services, and personalized coaching and mentorship. Year Up United participants also receive an educational stipend.

The program combines technical and professional training with access to internships and job placement support through our industry-leading talent placement firm YUPRO Placement. If you receive an internship, it may be at BNY Mellon, Fidelity, or Bank of America, among many other leading organizations in the New York New Jersey area.

Are you eligible?
You can apply to Year Up United if you are:
- A high school graduate or GED recipient
- Eligible to work in the U. S.
- Available Monday-Friday throughout the duration of the program
- Highly motivated to learn technical and professional skills
- Have not obtained a Bachelors degree
- You may be required to answer additional screening questions when applying

What will you gain?
Professional business and communication skills, interviewing and networking skills, resume building, ongoing support and guidance to help you launch your career. During the internship phase, Year Up United students earn an educational stipend of $525 per week.

In-depth classes include:
- Application Development
- Business Operations
- Banking
- IT Support
- Investment Operations
- Data Analytics
- Project Management
- Network Security & Support

Get the skills and opportunity you need to launch your professional career.
75% of Year Up United graduates are employed and/or enrolled in postsecondary education within 4 months of graduation. Employed graduates earn an average starting salary of fifty-three thousand dollars per year.

Year Up United is a one-year or less, intensive job training program that provides young adults with in-classroom skill development, access to internships and/or job placement services, and personalized coaching and mentorship. Year Up United participants also receive an educational stipend.

The program combines technical and professional training with access to internships and job placement support through our industry-leading talent placement firm YUPRO Placement. If you receive an internship, it may be at BNY Mellon, Fidelity, or Bank of America, among many other leading organizations in the New York New Jersey area.

Are you eligible?
You can apply to Year Up United if you are:
- A high school graduate or GED recipient
- Eligible to work in the U. S.
- Available Monday-Friday throughout the duration of the program
- Highly motivated to learn technical and professional skills
- Have not obtained a Bachelors degree
- You may be required to answer additional screening questions when applying

What will you gain?
Professional business and communication skills, interviewing and networking skills, resume building, ongoing support and guidance to help you launch your career. During the internship phase, Year Up United students earn an educational stipend of $525 per week.

In-depth classes include:
- Application Development
- Business Operations
- Banking
- IT Support
- Investment Operations
- Data Analytics
- Project Management
- Network Security & Support

Get the skills and opportunity you need to launch your professional career.
75% of Year Up United graduates are employed and/or enrolled in postsecondary education within 4 months of graduation. Employed graduates earn an average starting salary of fifty-three thousand dollars per year.