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This position will support our Financial Services Group. The Financial Services Group provides services to private equity, hedge fund, broker dealer, fund to funds, and real estate fund clients. Responsibilities include but not limited to: D

As Chief Compliance Officer, you will lead and manage the broker-dealer compliance team, oversee the development and implementation of compliance programs, monitor regulatory changes and provide guidance to cross-functional teams in a fast-paced environment. Oversee the broker-dealer compliance p...

We're seeking someone with audit and, ideally, market risk experience to join our team as a Director within the Market Risk Audit team. Experience auditing capital markets or market risk management in a bank or broker/dealer-regulated environment. In the Audit division, we provide senior manageme...

Compliance Advisor Senior Manager. The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. The Compliance Advisor Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and advise the CBD LOBs on t...

Join the broker-dealer function of one of the largest, fastest growing banks in the US as they expand and better their compliance program rapidly.Client DetailsClient is a global Canadian Bank.DescriptionResponsibilities: - Manage regulatory examinations for wholesale businesses, covering operat...

Head of Broker Dealer Operations. The Head of Broker Dealer Operations will be responsible for creating and implementing the department's operational policies and procedures, as well as performing key middle office tasks to effectively streamline business activities and strengthen control framewo...

Work experience: Ideal candidate will possess 1-4 years of work experience that is applicable to equity research including (1) healthcare investment banking or venture capital experience, (2) prior equity research experience with a broker dealer/investment bank, or (3) corporate role in a relevan...

Over time, build a high impact team of business development and relationship management professionals that delivers a world-class client experience and drives outsized growth and commercial impact for clients and BNY. Individual should have at least 12+ years of experience in sales/business devel...

Applicants must have a solid foundation in US securities laws and regulations, as well as broker dealer operations, with 7-10 years' of regulatory and/or advisory compliance experience in a broker dealer setting. Vice President, Broker-Dealer Private Side Compliance Advisory. The Company is seeki...

Global Markets Regulatory Compliance (“GMRC”) Advisory – Americas Director is responsible for providing advice on Swap Dealer and Broker Dealer regulations (including the global impact of relevant U. Coordinate compliance regulatory examinations and participate in the coordination of response

Provides accurate reporting to the dealer/general manager and is responsible for accounting office and administrative functions.Reports to Controller, Chief Finance Officer and Senior VP - Finance.Essential Duties* Hires, trains, and supervises office personnel.Analyzes and organizes office opera...

Job Title: Business analyst -Broadridge Business Process Outsourcing Job Type: Contract- Long-term Job Location: New York, New York ( 3 days onsite) Must have: US Broker dealer Equities back office – settlement, US broker dealer equity back-office systems – Broadridge Shadow, BPS Broadridge Busin...

About Safra National Bank of New York Safra National Bank of New York ("Safra National") is a nationally chartered U.S. Bank supervised by the Office of the Comptroller of the Currency and member of the Federal Reserve and the Federal Deposit Insurance Corporation (“FDIC”). Headquartered in Ne...

Senior Product Manager - Trading Applications, Tax Statement Center for Customers Status: Full Time, Permanent position with our client Location: NYC & Hybrid, Open to Remote Department: Exchange Growth Role: Senior Product Manager Immediate Project Need: Creating a tax statement center where c...

Role: Senior Analyst, Third-Party Risk Management Location: Hybrid role in NYC Duration: 12-month contract Pay Rate: Up to $52/hr W2 (Benefits: Medical, Dental, Vision, 401K, LTD Insurance) Join our client's high-impact team dedicated to overseeing and mitigating risks associated with third-p...

As a Regional Director, you’ll implement targeted sales strategies to grow local markets, increase revenue, and boost profitability. Regional Director, Dealer Sales | Long Island, NY. DealerCMO is on the lookout for a proactive Regional Director to grow our dealer network in key markets nationwid...

The National Recruiting Division of CBIZ LLP is recruiting for a.Responsible managing multiple 1120, 1065, 1040, (HNW), tax engagements simultaneously.A track record of delivering quality work for clients within the financial service, PE, Hedge Fund, and/or Broker/Dealer industry.Help maintain & ...

Technical Sales Specialist-Northeast (Long Island/Tri-State Area). The Technical Sales Specialist will operate in targeted high growth areas creating awareness and driving dealer adoption for Measure. Assists Latham Pool’s Sales personnel in achieving their sales objectives and identifying opport...

LLC (“SWS” or the “Firm”) (a FINRA-registered broker/dealer) is seeking to add a knowledgeable, driven, intellectually curious and experienced compliance professional to the team led by the Chief Compliance Officer. Work with senior management, Legal, Compliance, HR, Marketing, registered re

Introduce and promote the Blu Dot brand, products and custom capabilities to the contract, A + D and Dealer communities. Position Blu Dot as a design leader and great resource for commercial projects. Promote both existing Blu Dot products and our robust custom design and service capabilities.

Technical Sales Specialist-Mid Atlantic (DC). The Technical Sales Specialist will operate in targeted high growth areas creating awareness and driving dealer adoption for Measure. Assists Latham Pool’s Sales personnel in achieving their sales objectives and identifying opportunities.

As Chief Compliance Officer, you will lead and manage the broker-dealer compliance team, oversee the development and implementation of compliance programs, monitor regulatory changes and provide guidance to cross-functional teams in a fast-paced environment. Oversee the broker-dealer compliance p...

Large well-known dealer in NYC aggressively seeks an experienced Project Manager.

Um in dieser Position erfolgreich zu sein, muss der Dealer Process und Program Implementation Support Spezialist:. Wir sind auf der Suche nach einem motivierten Dealer Process und Program Implementation Support Spezialist (m/w/d) im Bereich Fahrzeugtechnik für einen renommierten Automobilherstell...