Broker dealer jobs in Newark, NJCreate job alerts

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...

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.

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.

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...

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 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.

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:.

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

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.

Analytical skills in order to be able to give an independent and relevant opinion on the control framework or the correct application of regulations on broker dealer operations. Product knowledge in Broker Dealersderivatives, loans, funding vehicles, currencies, fixed income, equity securities an...

Complete or assist in completing broker-dealer guidance, related to business change proposals, for management review. Serve as a subject matter expert ("SME") on products, regulatory reporting, and broker-dealer operations by maintaining proficient knowledge of applicable functions. Provide Compl...

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

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...

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...

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...

Prepare daily 15c3-1 net capital computation for two US broker-dealers (BD) and a securities-based swap dealer (SBSD). Clear Street is modernizing the brokerage ecosystem. Clear Street's proprietary prime brokerage platform adds significant efficiency to the market, while focusing on minimizing r...

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.

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 ...

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...

Prominent, international bank seeks an accountant for their broker dealer. Candidates should have 2-5 years of accounting experience at a broker dealer with knowledge of 15c3-1 and 15c3-3 calculations.

At least 5 years (five) and up to 10 (ten) years of relevant financial industry experience; working for a FINRA registered Broker Dealer and NFA registered FCM (Future's Commission Merchant). The team will work with brokers or client services to gather the proper documentation and configuring the...

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...

Regional Director (External Wholesaler), Independent Broker Dealer (IBD).

A successful Audit Associate Broker Dealer should have:. Audit experience related to broker dealer and sales and trading activities. Take the next step in your career in the financial services industry in New York and apply now for the Audit Associate Broker Dealer role.

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...

RSM is one of the largest assurance firms serving broker dealers across the nation. 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.

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 ...

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. Familiarity with cloud-based wealth management platforms or broker-deal...

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

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...

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 Finance Associate or Staff Attorney. Broker-Dealer Finance Associate or Staff Attorney. Broker-Dealer Regulatory & Compliance.

Provide Compliance Advisory services to broker-dealer business lines. Complete or assist in completing broker-dealer related regulatory inquiries and/or examinations. Provide Compliance Advisory services for broker-dealer Trade Surveillance process.