A company is looking for a Dealer Implementation Quality Assurance Specialist. Key Responsibilities:Develop and maintain QA procedures for end-to-end testing of Dealer Partner ProgramsComplete quality assurance testing on configurations and integrations, including API calls and website programmingPa...
In this role, you will manage a team of external wholesalers in an effort to build relationships with top financial advisors in the Broker Dealer Channel as well as provide valuable client solutions to assist advisors in growing their business using State Street's investment products. ...
Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by iCapital's FINRA registered broker dealer subsidiary and SEC registered investment advisors. ...
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...
The primary role of this dealer facing associate is to onboard and train dealers on products and processes while working with key stakeholders to identify areas for improvement. At least 1 year of experience in Relationship management OR within a Dealer Vendor or Dealership. Process management OR Re...
Constructively communicate with other dealership personnel as required to satisfy customer needs. Report to management any situation or condition that jeopardizes the safety, welfare, or integrity of the dealership, its personnel, or customers. ...
LLC (MSCO), our primary US institutional broker-dealer, and Prime Dealer Services Corp. A successful candidate will develop a deep understanding of the broker-dealers’ activities and how they are reflected in the financials. ...
Our client, a prestigious Broker-Dealer, seeks a Compliance Officer for their midtown NYC office. ...
Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. The broker dealers being supported include Capital One Securities, Inc. Commercial Broker Dealers" or "CBDs"). The Complia...
Our client who is a Self-Clearing Broker-Dealer in the New York Metropolitan area is seeking a highly motivated, talented candidate with a minimum of 2 to 4 years of accounting experience at a Self-Clearing Broker-Dealer. Our client who is a Self-Clearing Broker-Dealer in the New York Metropolitan a...
LLC (MSCO), our primary US institutional broker-dealer, and Prime Dealer Services Corp. A successful candidate will develop a deep understanding of the broker-dealers’ activities and how they are reflected in the financials. ...
Our Dealer Account Managers are individuals with the vision and dedication to provide world-class customer service to our dealer partners through training and prospecting for business opportunities. Our Dealer Account Managers are individuals with the vision and dedication needed to assist our curre...
As a BMW Technician, you will be responsible for performing diagnoses, repairs, and maintenance work for customer and dealership vehicles. Maintaining organized, clean workspace and accounting for dealership and personal tools at all times. ...
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 Dealer Relations Manager, you must possess superiormunication 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 thepany product in the dealerships. You...
My client is looking for a VP broker-dealer financial reporting to join its legal entity control division in New York City. Working knowledge of broker-dealer regulatory environment is a must. Working knowledge of broker-dealer regulatory environment is a must. ...
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-off...
Exciting new New York/New Jersey based Self-Clearing Broker-Dealer is searching for a self-motivated, team-oriented Controller/FINOP. Qualified candidates must have experience working at a Self-Clearing Broker-Dealer as either a Controller or FINOP. ...
The Associate Director will work to support the Broker-Dealer team on daily P&L and regulatory net capital calculations related to secondary trading activities, including entity and firm level financial reporting. Review daily P&L calculations on broker-dealer inventory positions. Facilitate monthly...
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 understa...
The Associate will work to support the Broker-Dealer team on daily P&L and regulatory net capital calculations related to secondary trading activities, including entity and firm level financial reporting. Calculate daily P&L on broker-dealer inventory positions. Facilitate monthly and quarterly focu...
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...
Adequate understanding of the private funds sector, broker-dealers, or related industries. SEC-registered investment adviser or FINRA broker-dealer. ...
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 ...
Responsible for day-to-day dealer relationship management and champion the adoption and ongoing use of the company product in the dealerships. You have practical experience, a comprehensive understanding, and strong working knowledge of how an automotive dealership runs day to day. You continually s...