Specifically, the role is responsible for advising on compliance risk management activities for Citi's swap dealer entities with a focus on Swap Data Reporting (Trade Reporting), Margin, and other primarily operational rulesets, which involve multiple business lines and functions, globally, in relat...
A company is looking for a Chief Compliance Officer for their Swap Dealer operations. ...
Your expertise in financial management will directly impact the Swap Dealer's ability to navigate the evolving landscape of cryptocurrency markets, optimize our financial performance, and maintain our reputation as a trusted and reliable partner in the industry. Collaborate with senior management to...
RSM is looking for a 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. ...
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.We need a leader with a strong focus ...
Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!. Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment products. ...
As a Dealer Relations Manager, you must possess superior communication skills that enable you to build high-level relationships throughout the entire dealership. Responsible for day-to-day dealer relationship management and champion the adoption and ongoing use of the company product in the dealersh...
Swap Dealer Compliance seeks a Compliance Officer to advise internal stakeholders on implementation and development of Securities & Exchange Commission (“SEC), Commodity Futures Trading Commission (“CFTC”) and National Futures Association (“NFA”) swap dealer requirements, including leading the devel...
As a Tire Service Advisor, you will work for Dealer Tire inside a premium OEM dealership. We’re Dealer Tire, a family-owned, international distributor of tires and parts established in 1918 in Cleveland, OH. Within our Tire Store program, Dealer Tire proudly promoted an average of 114 team members p...
The Head of Regulatory Reporting Swap Dealer will:. Ensure compliance with all swap dealer financial regulatory requirements (ie CFTC, NFA). Regulatory agency or in a Swap Dealer Controller-capacity role. Strong product knowledge and regulatory experience within the OTC derivatives and swap dealer b...
The successful candidate will be responsible for the team's effort in accurate and timely reporting of its IFRS and GAAP books and records and regulatory filings for its broker-dealers as well as non-broker dealers. My client is looking for a VP broker-dealer financial reporting to join its legal en...
RSM is looking for a 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. ...
Get the best of both worlds! Enjoy working inside a premium partner OEM dealership as a Dealer Tire employee. As a Tire Sales Advisor, you will work for Dealer Tire inside a premium OEM dealership. We’re Dealer Tire, a family-owned, international distributor of tires and parts established in 1918 in...
Experience as a margin supervisor or equivalent at a top financial services firm that provides trade, clearing, and custody services to correspondent or introducing broker-dealers. ...
Our client a multi-strategy fund is seeking a Broker Dealer Relations Coordinator to join their team. ...
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. You will provide guidance and...
In this role, the Head of Regulatory Reporting Swap Dealer will be responsible for establishing, maintaining, and developing the company's swap dealer financial and regulatory reporting framework for swap dealer activities. A tech investment firm in New York City is currently seeking an experienced ...
Assist in drafting CCO annual reports for the firm’s swap dealer, futures commission merchant and security based swap dealer entities. Assist with the development of training for Associated Persons of the swap dealer and security-based swap dealer to educate and remind those employees of their oblig...
Through its proprietary automated sales and marketing platform, Mastermind, the company empowers dealers to close more deals by predicting future buyers and consistently marketing to them. Through our proprietary automated sales and marketing platform, Mastermind, we empower dealers to close more de...
Specifically, the role is responsible for advising on compliance risk management activities for Citi's swap dealer entities with a focus on Swap Data Reporting (Trade Reporting), Margin, and other primarily operational rulesets, which involve multiple business lines and functions, globally, in relat...
We are seeking a talented and motivated Market/Credit Risk manager to join our team at a securities broker dealer. Bachelor's degree in finance, economics, or a related field - 3 years of experience in credit/market risk analysis, preferably within a securities broker dealer or financial institution...
As the Dealer Sales Manager, your principal responsibility will entail advancing the promotion of value-added coated glass tailored for the interiors sector, specifically targeting Shower Door Dealers. Guardian Glass is seeking a Dealer Sales Manager to join our team!. You will be entrusted with the...
Monthly reconciliation of financial reporting to Head Office, and the control and analytical review of holdingpany and broker dealer results, and interpany confirmations. Public/Private Accounting experience with Banking or Broker Dealer industry knowledge. ...
The role of the Dealer Development Consultant is to assist with the development and implementation of OEM Tire Program strategy and marketing communications. As a Dealer Development Consultant (DDC), your essential job functions will include the following:. Serve as the Tire Program liaison between ...
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. SWS is a perennial leader as a co-manager of investment-grade corporate debt, a nati...