Are you a business? Hire dealer candidates in New York, NY
We are seeking a visionary and experienced Chief Operating Officer (COO) to join our leadership team at Long Bridge Securities, a FINRA-licensed retail broker-dealer firm.
Swap Dealer Governing Body, Governing Body Subcommittee, Governing Body Working Group); and, implementing/executing regulatory requirements for compliance programs and Chief Compliance Officers. Serves as a senior product compliance risk officer for Independent Compliance Risk Management (ICRM) r...
Our national Dealer Relations team is responsible for supporting our customers and developing key relationships to drive dealer engagement, utilization, and growth with Mastermind. Reporting to the Chief Revenue Officer, the National Vice President, Dealer Relations plays an integral role in driv...
Serves as a senior product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework...
As the broker-dealer CCO, the successful candidate will maintain and establish standards and implement procedures to ensure that the broker-dealer compliance program remains effective and efficient in identifying, preventing, detecting and remediating regulatory issues. A minimum of ten years of ...
FCC domains - primary focus on AML and Fraud - Data. The primary focus will be on anti-fraud and anti-money laundering initiatives for clients in banking, broker/dealer, fintech, life insurance, and money service businesses. In-depth understanding of industry and regulatory expectations, particul...
Position Title: Business Analyst (Wealth Management). Minimum of 5 years’ experience at a US Broker Dealer as a business analyst. Technical and Business knowledge of some of the following systems or software provides:.
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...
You'll work closely with dub's CCO and senior leadership to ensure compliance, broker-dealer administration, and advisory oversight within a regulatory framework. You'll play a key role in managing regulatory and operational tasks related to both broker-dealer and advisory operations, due diligen...
You will work on a team with other Associates, Senior Associates, Managers, Senior Managers, and Partners. The Financial Services Group provides services to private equity, hedge fund, broker dealer, fund to funds, and real estate fund clients. Review and prepare financial statements, footnotes, ...
Ensuring clear communication with the manager and escalating issues when necessary. Acting as a liaison between the Swap Dealer business and the Control & Support functions of the broader group, the Business Manager will serve as a key contact and go-to person.
Large well-known dealer in NYC aggressively seeks an experienced Project Manager. Consolidated Business Services, Inc.
Proven track record of managing dealer relationships; dealer principles, dealer groups. The Dealer Success Manager supports our dealer base. Foster strong, long-term relationships with active dealers through weekly calls, monthly performance reviews communication and problem solving skills, provi...
Role: Senior Business Analyst with Financial Broker Dealer industry experience. Minimum of 5 years experience at a US Broker Dealer as a business analyst. Communicates changes, enhancements, and modifications of business requirements verbally or through written documentation to project managers...
Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions. Partners with Sales and Services teams to define ongoing best practices for onboarding tasks. Experience with AML and/or banking/broker dealer product onboardings.
Our New York operations provides a gateway between the UK and North America for financial institutions and large corporate clients, offering core banking products such as lending, trade finance and a range of debt capital and financial markets services through our US broker dealer, Lloyds Securit...
Business Development Manager - GSFSGroup. A Day In The LifeThe Business Development Manager (BDM), under the leadership of the Director, Dealer Performance will manage and develop the finance and insurance income activity and results for a defined group of dealerships in the National Sales Divisi...
Our New York operations provide a gateway between the UK and North America for financial institutions and large corporate clients, offering core banking products such as lending, trade finance, debt capital and financial markets services through our US broker dealer, Lloyds Securities Inc. Lloyds...
Front office to Back office including finance and Risk.Experience working with Client systems - Finpro/ BPS/ Impact (Preferred).Experience working with various Broker/Dealer products securities processing including Equities, Bonds, Treasuries, ABS, MBS, Securitized Products, Repos/Reverse Repo, S...
The Analyst will work closely with our attorneys and other legal and compliance personnel and will also interface with the firm’s investment banking personnel. We are seeking an Analyst to provide compliance monitoring and support in connection with our broker-dealer compliance program. The Analy...
Adequate understanding of the private funds sector, broker-dealers, or related industries. SEC-registered investment adviser or FINRA broker-dealer. ...
Ensuring regulatorypliant reporting, and all aspects of general ledger integrity and balance sheet substantiation.Developing a good understanding of the investment bank product set and systems and how these interface into the financial reporting process.Develop a sound understanding of US GAAP re...
Broker dealer located in Midtown Manhattan looking to bring on board a “VP Compliance – Regulatory Exams” to join their team. Manage regulatory examinations covering wholesale businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare...
Self Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience working for a Self Clearing Broker Dealer. Establish and maintain standards and procedures that are effective in identifying, preventing, detecting and remediating regulatory issues at a...
Page 2
Page 2