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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.

The SMBC Compliance Advisory Function resides within Compliance Department Americas Division ("CPAD") and provides compliance advice, guidance, and credible challenge to SMBC's businesses and support functions in the Americas Division. Coordinating compliance policy & procedure reviews, updates and

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

KBW's Equity Research, Sales and Trading Internship is a nine-week summer program that provides an introduction to a full-service investment bank and broker-dealer that specializes in financial services. Our Equity Sales & Trading team has financial industry-specific expertise with access to researc

A well-established broker-dealer platform is seeking a DTCC Operations Analyst to support U. Ideal candidates have up to 3 years of experience in DTCC settlements, strong trade lifecycle understanding, and excellent communication skills.

Vice President, Finance Data Strategy.This position is a subject matter expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports.This position will provide leadership to the team by setting the direction, defining the accountabilities and assignmen

We see the world differently at Capstone Investment Advisors. Grow and develop counterparty relationships with the investment bank and broker-dealer community. Our team is our most important asset and investment.

EnFin is a financial services company that provides financing for residential solar PV and energy efficiency upgrades, backed by the PV panel manufacturer, Qcells.Through its extensive dealer network, EnFin offers consumers a variety of loans and TPO ("third-party owned") products that help to make

A competitive suite of benefits, including: medical, dental, and vision insurance; life and AD&D insurance; STD and LTD benefits, including infertility support and World Professional Association for Transgender Health approved benefits; and generous parental leave. We strictly prohibit and do not to

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-

Alpact is a US California headquartered brokerage infrastructure technology company and self-clearing broker-dealer, delivering execution and custody solutions for Stocks, ETFs, Options, Cryptocurrencies, and more, and has raised over $170 million in funding. Amongst our subsidiaries, Alpaca is a li

The Head Of Retail & Consumer Marketing will oversee a team responsible for the strategy, planning, and execution of both direct-to-consumer (B2C) and indirect dealer retail (B2B) segments. Oversee the creation and management of marketing campaigns, including digital marketing, events, and promotion

Pzena Investment Management, LLC is a registered investment adviser and broker-dealer managing approximately $85 billion in global equity assets. We provide equity investment management services for institutional investors, leading corporate, public and individual clients on a world-wide basis by wa

As a Regulatory Reporting / Finance Associate at FalconX, you will be supporting the Chief Financial Officer of FalconX's regulated swap dealer entity, FalconX Bravo in matters related to accounting, book keeping, regulatory compliance, financial reporting, and financial statement audits. Stay infor

We are seeking a highly experienced and motivated Business Analyst to join our Broker Dealer Back Office team, with a focus on Transaction Lifecycle Management (TLM) for collateral management. Analyze business requirements for margin call management, including calculation methodologies, dispute reso

Seller Success Manager for Amazon Autos, you will be the primary point of contact for our valued dealer partners, serving as the bridge between Amazon and automotive retailers. Seller Success Manager position on the Amazon Autos team. Your primary responsibilities will include: (1) supporting the ov

As Senior Director, International Business Development at Apex, you will be instrumental in spearheading our global expansion strategy by establishing and launching broker-dealer operations in new international jurisdictions. Bachelor's degree required; MBA or Master's in Finance, International Busi

Flexible Work Option: Hybrid - Ability to work remotely part of the week. The Dealer Services Specialist II embodies a One Manheim mindset, facilitating client interactions across various Manheim channels and locations. Partner closely with various business units, including sales, mobile inspections

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.

The Head of Retail & Consumer Marketing will oversee a team responsible for the strategy, planning, and execution of both direct-to-consumer (B2C) and indirect dealer retail (B2B) segments. Oversee the creation and management of marketing campaigns, including digital marketing, events, and promotion

The Strategic Health A&D Manager drives the company's A&D engagement strategy within the healthcare sector, focusing on building preference and influencing specifications with Top Health A&D Giants and other key healthcare design firms. Work closely with Health Sales Managers (HSMs MSMs, dealer part

Fixed Income Sales Riskless Principal Desk. Position: Fixed Income Sales Riskless Principal Desk Location: New York Firm: DV Securities. About DV Securities: DV Securities is a registered broker-dealer and a member of both FINRA and FICC, with a core focus on fixed income markets.

The Equity Product Support Associate is responsible for assisting with the day-to-day operations and support of KBWs Equity desk in New York City. Keefe, Bruyette & Woods (KBW), a Stifel Company, is a full-service investment bank and broker dealer specializing in the financial services sector. The p

Regulatory Policy Vice President. This role supports regulatory reporting stakeholders by providing regulatory reporting advice, issuing policy interpretation and guidelines on technical regulatory capital issues involving our New York Branch, Bank Holding Company, broker-dealer and other affiliates

Our client, a top-tier Management Consulting firm, is seeking an experienced Business Analyst to support Capital Markets and broker-dealer clients across client registration and regulatory transformation initiatives. The role will support end-to-end registration processesincluding onboarding, transf

Role Overview: Our client, a top-tier Management Consulting firm, is seeking an experienced Business Analyst to support Capital Markets and broker-dealer clients across client registration and regulatory transformation initiatives. Business Analyst Registrations.

You will work cross-functionally with our internal partners across Seller Experience, Seller Operations, Product Management, Program Management and UX and externally with GM-level dealer personnel and/or VP-level dealer group contacts. Seller Success Manager at Amazon Autos, you'll have the opportun

We are seeking a highly experienced and motivated Business Analyst to join our Broker Dealer Back Office team, with a focus on Client ICI Allocation process. Business knowledge of Fixed Income products. Strong understanding of business processes, operational workflows, and analytical skills.

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.

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

The Sales Associate will make sales calls to end-users that are not currently buying from Nilfisk, support our dealers with equipment demonstrations, support the Regional Managers at open houses and trade shows, and even sell directly to some end-users that are not buying through a Nilfisk dealer. P

We are seeking a highly analytical and detail-oriented Broker Dealer Operations Control Associate to join our team. In this role, you will play a critical part in maintaining operational integrity, ensuring compliance with regulatory standards, and mitigating risk within broker-dealer operations. Yo

We are seeking an experienced Operations Director to join our dynamic team within our Broker-Dealer operations. SEC registered broker-dealers alongside a cryptocurrency brokerageall operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Offering a data-rich trading platform, we

Regional Strategic Sales Manager/h2pThe regional strategic sales manager is responsible for executing Fujifilms regional dealer sales strategy across an assigned geographic territory, driving sell-in and sell-through performance for Fujifilm Gfx System and X-Series cameras and lenses, plus Fujinon b

The Head of Trading will be responsible for leading the firms trading function, setting execution standards, and overseeing day-to-day trading activity across key products and markets. Candidates should have extensive trading experience within an asset manager, hedge fund, broker-dealer, or similar

Compliance Officer - Fixed Income Sales & Trading - Credit. Compliance experience with markets coverage, but at a minimum experience in advising for Credit business activity. Relevant experience providing compliance or legal coverage to a sales or trading Credit desk at a broker/dealer working on or

Broker Dealer Operations Team Opportunity. Established broker dealer is seeking a candidate with strong securities lending experience to join their operations team.

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

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

Familiarize yourself with Mitsubishi's 2030 network strategy and footprint goals. Continuously improve Mitsubishi/MEL/MDL knowledge and presentation skills. Mitsubishi Motors is on the move, growing market presence and elevating brand relevance.

Fixed Income Regulatory Operations Candidate. Broker dealer client is seeking a strong fixed income regulatory operations candidate to join its reporting team. Supports regulatory reporting and control functions for fixed income trading across U.

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. The Swap Dealer Advisor will support Commercial Banking through providing expert regulatory advice and thoughtful recommendations that advance

We need a senior Project Manager with experience leading Wealth Management and/or Broker dealer projects (Not Investment Banking) in a Banking or Financial services environment. Project Manager/Wealth Management or Broker Dealer.

RSM is looking for an 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.

Growing broker dealer is seeking a highly skilled Operations Regulatory Reporting Analyst to support regulatory reporting and control processes across Futures, Options, Swaps, Equities, and Fixed Income. Monitor and resolve daily regulatory reporting across CAT, CAIS, Dodd-Frank, CFTC Large Trader (

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

Strong people leadership skills with experience managing and developing a team.