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We are seeking an analyst to support our broker‑dealer client with SEC Rule 15c3‑3 (Customer Protection Rule) reserve and possession/control calculations on a contract basis.

We're Dealer Tire, a family-owned, international distributor of tires and parts established in 1918 in Cleveland, OH. Why Dealer Tire: An amazing opportunity to join a growing organization, built on the efforts of hard working, innovative, and team-oriented people. EOE Statement: Dealer Tire is an E

Oversee, administer, and continuously enhance the firm's Compliance Program across all broker-dealer and investment banking activities. Minimum of 10+ years of broker-dealer compliance experience. Prior experience serving as a Chief Compliance Officer or senior compliance leader at a full-service br

Marex is seeking a Head of OTC Swap Dealer Operations who will be responsible for the end-to-end operational oversight of the firm's OTC derivatives, Commodity and Swap Dealer activities. The role is critical in maintaining regulatory compliance, operational resilience, and strong control frameworks

The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function provides centralized compliance support across the Advisory Function with respect to broker-dealer-applicable regulatory engagements, support function coordination, governance and reporting. Regulatory compliance

Job Description: This position requires working onsite at an auction location a minimum of twice per month and visiting dealerships within the assigned territory a minimum of four times per month. The Dealer Services Specialist II embodies a One Manheim mindset, facilitating client interactions acro

The Broker-Dealer Operations Team at Betterment oversees and operates Betterment's broker-dealer entity that safeguards over $65B in assets for over one million customers. As Director of Broker-Dealer Operations you will lead the team and oversee all financial and operational aspects of our broker d

What will you do as our Dealer Account Manager?/pulliPrepare presentations and proposals to communicate company products and services to all levels of management within Independent and Franchise Dealerships/liliIdentify sales prospects and contact these and other accounts assigned to you/liliFollow-

Lead and develop the Northeast territory targeting wirehouses and broker dealers by actively developing relationships with advisors to promote business building ideas and services; maintain and grow assets in territory across mutual funds, SMAs, alternative investment products, and ETFs.

Meet the requirements of Dealer Tire's Motor Vehicle Record Policy and Company Vehicle Fleet Policy. Dealer Tire is a drug-free environment. Why Dealer Tire: An amazing opportunity to join a growing organization, built on the efforts of hard working, innovative, and team-oriented people.

Associate Broker Dealer Risk Specialist. The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly motivated Risk Management professionals with excellent communication skills, strong judgment and decision-making skills with integrity and ownership. The Associate Ri

Experience in Broker-Dealer or Capital Markets is a plus, but not required. Broker-Dealer and Capital Markets Coverage Group. Houlihan Lokey's Financial Services Group is seeking to support its quickly-growing Broker-Dealer and Capital Markets practice with an experienced Investment Banking Associat

Your expertise in financial management will directly impact the Swap Dealer's ability to navigate the evolving landscape of cryptocurrency markets, optimize our financial performance, and maintain our reputation as a trusted and reliable partner in the industry. Collaborate with senior management to

As Senior Manager of Broker-Dealer Financial Operations and Controls you will play a pivotal role in overseeing and managing all financial and operational aspects of our broker dealer business. The Firm Operations Team at Betterment oversees and operates Betterment's broker-dealer entity that safegu

Lead and develop the Northeast territory targeting wirehouses and broker dealers by actively developing relationships with advisors to promote business building ideas and services; maintain and grow assets in territory across mutual funds, SMAs, alternative investment products, and ETFs.

RSM is looking for a Assurance 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.

Lead and develop the Northeast territory targeting wirehouses and broker dealers by actively developing relationships with advisors to promote business building ideas and services; maintain and grow assets in territory across mutual funds, SMAs, alternative investment products, and ETFs.

Lead and develop the Northeast territory targeting wirehouses and broker dealers by actively developing relationships with advisors to promote business building ideas and services; maintain and grow assets in territory across mutual funds, SMAs, alternative investment products, and ETFs.

ADA Disclosure: Any candidate who feels that they may need an accommodation to complete this application, or any portions of same, based on the impact of a disability should contact Dealer Tire's Human Resources Department to discuss your specific needs. We're Dealer Tire, a family-owned, internatio

Lead and develop the Long Island & CT territory targeting wirehouses and broker dealers by actively developing relationships with advisors to promote business building ideas and services; maintain and grow assets in territory across mutual funds, SMAs, alternative investment products, and ETFs.

Develop and implement strategic marketing plans to support the growth and expansion of the dealer network and consumer originations acquisition via prospecting to drive more through the door applications across the Chase dealer network, ensuring alignment with business goals. Maintain dealer segment

We are seeking a Vice President to lead marketing for the Independent Broker Dealer (IBD) channel. Vice President Marketing Independent Broker Dealer Channel.

The Swap Dealer Advisor will also support internal and external risk reporting related to compliance risk as part of the broader Swap Dealer Compliance Team. Assisting the SD CCO in administering a Swap Dealer Compliance program. At least 2 years of Compliance or Audit experience with a Swap Dealer

A New York–based, full-service broker-dealer and investment bank providing investment banking, brokerage, trading, and capital markets services to institutional and corporate clients. Oversee, administer, and continuously enhance the firm’s Compliance Program across all broker-dealer and investm

Broker/Dealer Margin Manager Assistant, Officer. An individual with 5+years securities industry experience working within broker dealer margin departments.

Assist with preparation of FINRA FOCUS Reports including the form X-17A-5 Part II, Supplemental Statement of Income (SSOI), Form Custody for Broker Dealers, Supplemental Liquidity Schedule (SLS), Off Balance Sheet Report (OBS) and SEC 17H reports. Assist with preparation of 15c3-1 Daily Net Capital

StoneX is establishing and implementing a Security Based Swap Dealer ("SBSD") program within their current institutional broker dealer, StoneX Financial Inc. The Firm seeks a seasoned compliance officer that has prior securities and swap dealer experience. Prior experience at a regulator, private fi

The Swap Dealer Advisor will also support internal and external risk reporting related to compliance risk as part of the broader Swap Dealer Compliance Team. Working knowledge of swap dealer requirements within Title VII. Capital One, National Association is a CFTC registered Swap Dealer.

We are seeking an analyst to support our broker‑dealer client with SEC Rule 15c3‑3 (Customer Protection Rule) reserve and possession/control calculations on a contract basis.

The Dealer Relationship Representatives are responsible for identifying, building and maintaining trust-based business relationships with new auto and powersports dealers. They introduce dealers to the company and programs, demonstrating an ability to influence decisions and drive results. Motivated

The Dealer Relationship Representatives are responsible for identifying, building and maintaining trust-based business relationships with new auto and powersports dealers. They introduce dealers to the company and programs, demonstrating an ability to influence decisions and drive results. Motivated

The Dealer Relationship Representatives are responsible for identifying, building and maintaining trust-based business relationships with new auto and powersports dealers. Motivated and entrepreneurial, Dealer Relationship Representatives drive success by achieving and surpassing business goals, mee