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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...
Be the bridge between regional finance team and the business in presenting financial results in the monthly P&L reviews for assigned business division.Ability to influence senior leadership through financial interpretation and explanation.Perform ad hoc financial analysis as requested by senior m...
Lane Office, a leading New York based office furniture dealer and interior construction sub-contracting firm, is adding to its team and seeks a Project Manager. Analyze and propose solutions, assess risks, and track/ communicate project milestones through project process to make sure customer rem...
Creating and developing Knowledge Share documentation on regulatory topics related to broker-dealers. Understanding of other relevant SEA, CFTC, FINRA, and/or NFA rules pertaining to broker-dealer reporting requirements. Proficiency in AxiomSL Broadridge, and/or other relevant broker-dealer back-...
Dealer Sales & Relationship Manager. A fintech company serving approximately 2,500 clients – including the world’s largest banks, asset managers, hedge funds, insurance companies, wealth managers and retail clients -- in more than 65 countries across the globe. The individual will be expected to ...
The Automotive Director of Business Development is responsible for generating profitable business growth through the acquisition of new business within their assigned geographic area. As a leader within the Assurant Dealer Services organization, this position will contribute to the development an...
Our client is a leading independent office technology dealer servicing the New York City metro area (NYC, Westchester, New Jersey and Long Island).They are a locally recognized distributor of Copier (Canon, Kyocera, and Konica Minolta) and high-end Production Equipment.Print Services, Business Ph...
This critical role involves overseeing our subsidiaries and managing the financial and regulatory reporting processes for our broker-dealer operations. The successful candidate will have a strong background in financial services accounting, broker-dealer accounting, regulatory compliance, and fin...
As a Dealer Account Manager with Westlake Financial, you will be educating and training our current Dealer partners in the assigned area, along with acquiring new source and contacts. Westlake Financial is the largest privately held auto finance company in the United States with demonstrated grow...
Finance and Insurance (F&I) Manager – Automotive. This is an incredible opportunity for an experienced professional who is excited by automotive F&I and passionate about customer service. We are currently seeking an F&I manager to join our amazing team. ...
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 to thes...
Retail broker Dealer located in Midtown Manhattan looking to bring on a new “Senior Regulatory Compliance Officer” to join their team. Conduct internal investigations related to potential regulatory violations or compliance breaches. Monitor and interpret new regulatory developments and ensure th...
President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting, Risk Management, Compliance, IT Risk and Training commit...
The Associate Director - Broker Dealer Compliance will:. Assist broker-dealer clients through regulatory examinations and respond to regulatory inquiries. Serve as registered Chief Compliance Officer for the firm's broker-dealer (BD) clients in limited circumstances. Broker Dealer Regulatory Comp...
Ensure accurate and timely monthly, quarterly, and year-end close processes of the broker dealer entity and associated subsidiary entities (acquired as part of a recent acquisition). Minimum of 5 years of experience in accounting, with at least 3 years in a broker-dealer environment. Strong under...
Help facilitate FINRA and NFA branch inspections administered by Distributor Compliance. ...
A financial services firm in New York City is currently seeking an experienced Compliance Consultant to join their growing team as their new Associate Director - Broker Dealer Compliance. The Associate Director - Broker Dealer Compliance will:. Assist broker-dealer clients through regulatory exam...
The Head of SMA Client Service will lead and develop a team of Client Service Managers and Associates responsible for delivering exceptional client service to our fast-growing Invesco Separately Managed Account clients including RIAs and Broker Dealer Firms.The Manager will continuously improve t...
In addition, the Compliance Officer will deliver day-to-day coverage for the Global Securities Finance desk in New York, which encompasses synthetic prime brokerage activities (including repos and securities lending/collateral upgrade trades) and the Delta One desk for Total Return Swap (TRS) tra...
The Senior Regional Consultant/External Wholesaler will sell MFS Investment products and services through financial intermediaries in the Broker-Dealer, Regional, Independent and Bank channels within New York City. ...
NEW YORK CITY based INSTITUTIONAL BROKER-DEALER seeks ASSOCIATE GENERAL COUNSEL (hybrid): advise and support sales and trading teams for Treasury, Fixed Income and Equities.Lead trading documentation and agreement negotiations (Master Repurchase, Master Securities Lending, sponsored repos, collat...
The Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker-dealer activities across Societe Generale's operations, reporting on the compliance ...
A financial services firm in Midtown, NY, is seeking a Regulatory Compliance Manager for their Broker-Dealer team. This role will focus on overseeing and managing compliance initiatives, particularly ...
A broker-dealer background would be highly advantageous Kite Human Capital - Hire Better We are unashamedly focused on working with only the best people, who care about customer value and maintain a ...
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