Dealer jobs in New York, NY - Page 2Create job alerts

Job Description Senior consultant(s) will offer expert consulting skills along with deep product and functional knowledge across various areas of the Back office, Operations, technology, Risk, P&S, Finance, Securities lending and Compliance depending on the department they will be working with.  ...

Job Description Forest Hills Financial Group, a member of The Guardian Network®, is looking for individuals like you to join our team as a Financial Advisor. This is a HYBRID position. Candidates must live in the New York Metropolitan Market. Office space is located in New York City, Melville, ...

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full-service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities bro...

Prepares information for Regulatory filings.Works with CFO on updating policies and procedures.Participates in testing associated with changes needed for the business.Works with members of Head Office.Assists in the delivery of information for the annual external audit of the broker dealer books ...

Jamaica dealer, looking for an experience Automotive Bookkeeper.

Supervises the activities of the Casino gaming table such as Blackjack, American Roulette, Caribbean Stud Poker, Dice and related services by performing the following essential duties.Minimum of three (3) years dealer experience with Blackjack, American Roulette, Caribbean Stub Poker, Dice and ot...

Together with its subsidiaries, New York Life provides a range of competitive insurance and financial products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC...

Advanced experience in and knowledge of Commodity Futures Trading Commission (CFTC), Securities and Exchange Commission (SEC), and NFA swap dealer and security-based swap dealer regulations preferably in a Compliance or Legal Advisory role advising businesses directly. Product knowledge and regul...

The Compliance Analyst will support overall enterprise and specific projects working in the Compliance Department of a Broker-Dealer. Review and triage emails sent to the Compliance Department and Compliance Education mailboxes. Minimum 0-3 years of experience as a summer intern or analyst in fin...

JCW is partnered with a established investment bank as theyre looking to hire a Broker-Dealer Compliance Officer.This position reports directly into the CCO and will assist with all aspects of the compliance program.An ideal candidate will have prior equities compliance advisory or trade surveill...

Deliver outstanding client service by professionally handling calls, emails, and work items with accuracy and within established deadlines, including support for the Dealer Services Call Center. Experience in financial services, sales, or customer service is a plus. The candidate will be responsi...

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...

Prior compliance experience within a registered investment adviser (RIA), broker-dealer, or FinTech firm.

Business Development Specialist. As a Business Development Specialist for Spireon's New Car Franchise Dealer division, you will play a pivotal role in driving growth by selling to the top 50 National Dealer Groups. Manage your time and activity to meet the needs of existing customers while expand...

Midtown Manhattan (3 days/week onsite).Our client, a $30 billion AUM dually registered investment advisor and broker dealer is looking for a Director of Compliance to act as a #2 to the CCO.Work in close coordination with the Firms Chief Compliance Officer and other members of the Firms Legal & C...

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.

Mentor Junior Account Manager, if applicable. Microsoft Office knowledge (Outlook/Excel/Word). Empire Office is the largest commercial furniture dealer in the world, with over 78 years of experience and more than 435 full-time employees across the country.

Experience working within a Swap Dealer and/or Security-Based Swap Dealer Compliance program to meet the requirements of the Dodd-Frank Act. Familiarity with clearing and trade reporting systems, and related compliance programs. Collaborate with Compliance testing teams and other internal control...

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities bro...

Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone to work closely with the Fixed Income, Currencies, and Commodities ("FICC") LOBs and other internal business partners t...

Support dealer engagement initiatives with segment end users in collaboration with Chamberlain Group's New Business Development team and National Integrator team. Support implementation of go-to-market strategies developed by Chamberlain Group's product marketing, engineering, business developmen...

Automotive Service Director Multi-Franchise Dealer Group Brooklyn, NY.

Job Description Client Services Associate Job Description We are seeking a proven and seasoned Client Service Associate to provide support and assistance to financial advisors of Dominari Securities LLC, a dual-registered Broker-Dealer and Registered Investment Advisor. This role is a combina...

A leading Financial Institution, is looking for an Associate to join their growing Broker Dealer Regulatory Reporting team. Other FINRA Reporting preparation and analysis.

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities bro...

Functional knowledge of the US Fixed Income trading/regulatory framework, including FINRA, SEC broker dealer regulations and other relevant bank regulations; knowledge of FRB, CFTC, FCM laws, rules and regulations a plus. Advisory Compliance Officer - Fixed Income Business Line Compliance. USA Jo...

Pzena Investment Management, LLC is a registered investment adviser and broker-dealer managing approximately $70 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...

Utilize SQL to perform data analysis, ensuring data quality and integrity for regulatory reporting. Business Analyst within a financial services environment, with a focus on swap dealer regulations. Proficient in SQL for data analysis to support compliance and regulatory reporting.

Recommend and implement changes to the Societe Generale ("SG") Swap Dealer ("SD") and Security-based Swap Dealer ("SBSD") Compliance Programs, including relevant policies, procedures and controls, on an ongoing basis;.Provide robust, independent advice to SG Business Units/Service Units on DFA re...

Work closely with other support functions and business areas to foster a culture of compliance across the firm. Contribute to annual compliance training requirements and regulatory change impact assessments as needed. Assist with developing and executing the annual Compliance Testing plan.

Shift Digital Business Consultants supporting the brand have a vital understanding of how dealerships operate and the digital tools they use to engage their customers. As a digital marketing expert resource, you will work directly with our client and their dealers to implement industry leading di...

Prepare daily 15c3-1 net capital computation for two US broker-dealers (BD) and a securities-based swap dealer (SBSD).

Previous European automotive technician experience a plus. The average Automotive Technician salary in New York, NY is $77,472 as of June 27, 2024, but the salary range typically falls between $68,009 and $85,944. As a BMW Technician, you will be responsible for performing diagnoses, repairs, and...

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...

Capital is looking to hire a Vice President to join the iCapital Solutions team, specifically focused on wirehouses and broker dealers. This position will play a key role in maintaining and developing current relationships, working to uncover new growth opportunities within the wealth management ...

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.

Are you interested in joining a Global Investment Management Firm? Our client is looking for a dynamic individual ready to join our team as a Service Desk Engineer in Stamford, CT. Deliver advanced hands-on and remote support for critical end-user computing tasks, such as telephony (Cisco and dea...

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 ...

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...

The Asset Management Associate will work directly with the SVP, Broker Dealer Operations & Solutions and Senior Asset Management Associate, Team Lead to successfully onboard and service new and existing clients who are placing their trust in Lenox Advisors to take care of their total investment n...

Understand RSM's lines of businesses, availability of services and where applicable, discuss with client management of opportunities to make valuable introductions to others in the firm. All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harass...

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.

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...

Support Head Office Regional personnel in all Tire Program elements. Attend and present Tire Program updates at Parts & Service Manager meetings, monthly Regional Organization Meetings, and Tire Manufacturer training conferences.

Swiss Re is an equal opportunity employer. Join a Compliance team that supports Swiss Re's investment advisory and broker-dealer businesses, using your technical expertise and understanding of regulation to aid in the design and implementation of compliance programs that meet applicable regulator...

As a Project Manager focusing on Swap Dealer Regulation, you will lead critical projects aimed at ensuring compliance with regulatory requirements related to swap dealer operations. Defining project scope, objectives, and deliverables in collaboration with stakeholders to ensure compliance with s...

Oppenheimer") is a leading middle-market investment bank and full service broker-dealer, With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment ba...

Experience working at a broker dealer or financial institution. Oppenheimer") is a leading middle-market investment bank and full-service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail secu...