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A prestigious and well-established asset manager and broker-dealer, with a growing portfolio of private equity funds, is seeking a dynamic Chief Compliance Officer (CCO) to lead and enhance its compliance program. An ideal candidate will have relevant experience at a similar organization with sen...

Knowledge of broker dealer accounting and finance. Knowledge of broker dealer operations. US Broker Dealer Regulatory reporting experience.

Fidelity Institutional Client Experience Division (CE) provides superior customer service to Fidelity's Clearing correspondent broker-dealer clients through innovation, dedication, and commitment to excellence. Optimizing the client service experience by building strong relationships with key dec...

Broker-Dealer Regulatory Reporting is seeking an Analyst to serve as a member of its SEC Customer Protection team. Liaise with various internal teams/stakeholders to assist with audit and regulatory examinations and inquires.

The Finance Department of Global Banking and Investor Solutions (GBIS) is a global organization with a local presence. The Finance Department performs independent certification of all financial aggregates and creates the daily P&L explanation on market activities. Bachelor's degree in Finance, Ac...

Job Description About Futu US Inc. Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around inno...

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around in...

Job Description Join a Different Kind of Investment Firm. At TSG Invest we redefine wealth management. We're not just another firm – we're pioneers, offering integrated solutions through our ecosystem. Build Your Practice, Your Way Unlike traditional firms, we empower you. Our platform combine...

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around ...

Job DescriptionAbout Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around inno...

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around in...

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around in...

Job Description EDM Marketing Specialist Office Location: Jersey City, NJ About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings...

Job Description Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around innovating the invest...

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around inn...

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around in...

Work Experience: 2 to 5 years of specialized experience in Financial Services, 2 + years Financial Reporting (broker dealer experience is a strong plus). Good knowledge of financial reporting process and related internal control framework. Knowledge of securities broker dealer business, financial...

As an Institutional IWMS Client Service Manager, you oversee the operations and service experience for your assigned Clearing correspondent broker-dealer clients. In partnership with the Relationship Manager, you represent an elite service team, and the face of Fidelity dedicated to your correspo...

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around inn...

Job DescriptionAbout Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around innova...

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around inn...

JCW is partnered with a established investment bank as they're looking to hire a Broker-Dealer Compliance Officer. Have 3+ years broker-dealer compliance experience.

A prestigious and well-established asset manager and broker-dealer, with a growing portfolio of private equity funds, is seeking a dynamic Chief Compliance Officer (CCO) to lead and enhance its compliance program. Oversee and manage the firm's compliance framework across all business lines, inclu...

A prestigious and well-established asset manager and broker-dealer, with a growing portfolio of private equity funds, is seeking a dynamic Chief Compliance Officer (CCO) to lead and enhance its compliance program. Oversee and manage the firm's compliance framework across all business lines, inclu...

Oversee and manage the firm's compliance framework across all business lines, including asset management, broker-dealer operations, and private equity. A prestigious and well-established asset manager and broker-dealer, with a growing portfolio of private equity funds, is seeking a dynamic Chief ...

A prestigious and well-established asset manager and broker-dealer, with a growing portfolio of private equity funds, is seeking a dynamic Chief Compliance Officer (CCO) to lead and enhance its compliance program. Oversee and manage the firm's compliance framework across all business lines, inclu...

JCW is partnered with a established investment bank as they're looking to hire a Broker-Dealer Compliance Officer. Have 3+ years broker-dealer compliance experience.

JCW is partnered with a established investment bank as they're looking to hire a Broker-Dealer Compliance Officer. Have 3+ years broker-dealer compliance experience.

Have 3+ years broker-dealer compliance experience. JCW is partnered with a established investment bank as theyre looking to hire a Broker-Dealer Compliance Officer.

BBVA Group, is seeking a highly experienced.Senior Project Manager – Engineering.This role is instrumental in enabling the expansion of BSI’s capital markets platform, including new product launches (repos, equity derivatives, QIS), onboarding of strategic vendors (e.Murex, Calypso, Broadridge),

The Broker Dealer Operations Associate will be responsible for:. The Broker Dealer Operations Associate should have the following qualifications and skills:. Broker Dealer Operations Associate.

The Broker Dealer Accountant will be part of the legal entity control division and will be responsible for the reporting of the firms GAAP books, records and regulatory filings for the U. Knowledge of broker-dealer regulatory environment required.

JCW is partnered with a established investment bank as they're looking to hire a Broker-Dealer Compliance Officer. Have 3+ years broker-dealer compliance experience.

RSM is seeking a Manager to join our Capital Markets practice, which specializes in serving, introducing, and clearing Broker Dealer clients. RSM is one of the largest assurance firms serving broker dealers nationwide.

Broker dealer services in connection with an investment are offered through Crowd Street Capital LLC ("Crowd Street Capital"), a broker dealer registered with FINRA and a member of SIPC. Associate General Counsel, Broker-Dealer & Securities. The Associate General Counsel role is instrumental in t...

Director, Regulatory Compliance - Broker Dealer. Our program governs registered advisers, registered funds, a limited purpose broker-dealer and private/non-listed investment products. The successful candidate will be well rounded with experience helping execute a compliance program for a register...

Brookfield Place New York - 225 Liberty Street, Suite 3501.Business - Brookfield Oaktree Wealth Solutions.Brookfield Asset Management, a leading global alternative asset manager, has an exemplary 100+ year history of owning and operating real assets and related businesses.In 2019, Brookfield acqu...

We are looking for a Director, Banks and Broker Dealer Coverage, Americas to join our FI Coverage team. This role is responsible for the Banks and Broker-Dealer (BBD) client coverage includes all aspects of client development, new business generation, setting the broader strategy for the portfoli...

RSM is looking for a Manager to join our Capital Markets practice, which specializes in serving, introducing and clearing Broker Dealer clients of the firm. RSM is one of the largest assurance firms serving broker dealers across the nation.

Guggenheim Securities ("GS") is hiring a Vice President Broker Dealer Regulatory Reporting to join our Regulatory and Finance teams. Understanding of the Operational records and settlement mechanics of a broker dealer. Broker Dealer Regulatory Reporting.

We are seeking an experienced Project Manager with a strong background in Wealth Management and/or Broker-Dealer operations. Experience with digital transformation initiatives in wealth management or broker-dealer operations. Project Manager with experience leading Wealth Management and/or Broker...

Develop existing relationships with wealth managers including wirehouses and broker dealers. Capital is looking to hire a Vice President to join the iCapital Solutions team, specifically focused on wirehouses and broker dealers.

Broker Dealer Operations Associate. The Broker Dealer Operations Associate will be responsible for:. The Broker Dealer Operations Associate should have the following qualifications and skills:.

Provide Compliance Advisory services to broker-dealer business lines. Provide Compliance Advisory services for broker-dealer Trade Surveillance process. Provide Compliance Advisory services for broker-dealer Regulatory Reporting process.

As a Broker Dealer Operations Associate on the Flourish team, you will report to the Broker Dealer Operations Lead and partner closely with Flourish's cash, client support and strategic partnership teams on the daily treasury operations. With experience in middle or back office operations at a re...

Ability to read and interpret regulations and implement changes related to broker-dealer compliance. We are looking for a Chief Compliance Officer (CCO) who will assume primary responsibility for ensuring broker-dealer compliance with SEC, FINRA and applicable state rules/ regulations. The primar...

Client looking to move quickly.Client is a top, global Canadian banking firm.Assist with developing and executing the annual Compliance Testing plan.Determine the scope of reviews, build detailed review steps, and organize documentary evidence of the review.Execute testing engagements and prepare...

Citi's Global Broker-Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker-Dealer funding, capital and liquidity management and oversight requirements within the Treasury organization. The Global Broker-Dealer Legal Entity Treasury team within the Global ...