Company Description Finance Job Description Qualifications Accounting / Finance background of broker-dealer...
Broker-Dealer Accounting / Regulatory Reporting Analyst 12 month Contract Rate: $60/hr W2 without benefits New York..., balances and activities Qualifications Accounting / Finance background of broker-dealer entities Legal entity financial...
Department is currently seeking a Vice President, Broker Dealer Operations to support the growing Capital Markets business... and Broker Dealer Program in the oversight, monitoring and implementation of Ares Management Capital Markets, LLC.’s (“AMCM”) day...
broker dealer operations to keep pace with business growth, while always ensuring stability, safety, and compliance. Knowing... of our broker dealer: allocation algorithm, daily wires, key reporting, system controls Manage, mentor, and develop the existing...
passionate about developing your career, while helping others along the way, come join the Broadridge team. The Bank Broker... Dealer Head of Strategy and Business Development is a key member of the BBD Management Team and partners directly with the...
advisory function to the President and is responsible for overseeing the management of the broker dealer's compliance risk... compliance experience at a broker dealer. A solid foundation in US securities laws and regulations and broker dealer operations...
will provide more details. Main Responsibilities: The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury... will have involvement in all broker dealer treasury functions including funding and liquidity risk management, asset liability management...
background with broker dealer experience including SEC 15c3 experience, possessing a strong understanding of broker dealer...
We are seeking an experienced Compliance Operations Specialist with deep expertise in broker-dealer services... initiatives within the broker-dealer business. This individual will drive the development and implementation of scalable, robust...
Our client is seeking a Compliance Associate to join its boutique U.S. broker-dealer operation. This is a high-impact... of Compliance Associate - Broker-Dealer based in New York City, you will play an indispensable role in safeguarding the probity...
broker dealer regulatory reports such as FOCUS, SSOI, OBS reports. In depth knowledge on 15C3-1 and 15C3-3 calculation... or internal audit knowledge of broker dealer regulatory reporting especially FOCUS report knowledge of financial and banking...
individual to join its Equities Practice Group within the Corporate & Investment Bank as a Broker-Dealer & Cash Equities Attorney.... As a Broker-Dealer & Cash Equities Attorney within the Broker-Dealer & Cash Equities Legal group , you will provide legal...
Compliance Officer – Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed Income, Listed... services to broker-dealer business lines. Complete or assist in completing broker-dealer related regulatory inquiries...
Solutions team, specifically focused on wirehouses and broker dealers. This position will play a key role in maintaining... wirehouses and broker dealers. Play a key role as the relationship manager for several strategic wealth management clients...
Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. The Group provides com...
independent broker dealer channel. Our key area of focus with clients is our evergreen/semi-liquid investment lineup, alongside...
of broker-dealer entities. Legal entity financial and regulatory reporting and/or public accounting experience. Self-starter...
and Accounting team in New York. The individual will be responsible for compliance with broker-dealer regulatory reporting... on broker-dealer regulatory reporting activities with emphasis on SEC Rule 15c3-1 (net capital), SEC Rule 15c3-3 (customer...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...