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 Trainingcommittees...
TD Securities is looking for a broker-dealer accountant to join its Product Control division in New York City. ...
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...
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...
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, providin...
As FINOP, you will be responsible for the regulatory financial reporting and compliance for the Company’s Broker-Dealer. You will focus on the Finance team’s reporting infrastructure and make sure the Broker-Dealer unit is equipped to scale and support the firms growth strategy. Work on day-to-day a...
MUST HAVE : BROKER DEALER/ WEALTH MANAGEMENT / MERGER & ACQUISITION (M&A) FIXED INCOME INDUSTRY EXPERIENCE. ...
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. ...
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...
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. ...
At least 7-10 years of Swap Dealer Compliance experience. ...
The key responsibilities of the position will be supporting the Goldman Sachs’ custody business for registered investment advisors (RIA Custody business) and the broker-dealer clearing services business (Broker-Dealer Clearing Services business). The Broker-Dealer Clearing Services business provides...
MUST HAVE : BROKER DEALER/ WEALTH MANAGEMENT / MERGER & ACQUSITION (M&A) FIXED INCOME INDUSTRY EXPERIENCE. Project Manager with 10-15 years of experience in financial services with a particular focus in the wealth management/independent broker dealer space. ...
Wholesale entities, which may include multiple SEC registered broker dealers. Working knowledge of broker-dealer regulatory environment is a must. ...
This position primarily supports Invesco’s registered broker-dealers. Under general supervision of the Broker Dealer & UIT CCO, the Compliance Manager is responsible for monitoring rules and regulations and as needed, amending/developing, and implementing policies and procedures that are necessary t...
Dealer Sales & Relationship Manager. The Credit Dealer Team is looking for an energetic, diligent, team-oriented individual with credit market knowledge, an understanding of trade flow processes and a proficient background in electronic trading platforms. Develop a thorough command of dealer trading...
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 ...
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 ORRel...
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. ...
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 ...
Senior Vice President - Markets Compliance Advisory .At BNY, our culture empowers you to grow and succeed.As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets.Every day around the globe, our 50,000+ employee...
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 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...