Risk Manger- Self Clearing Broker-Dealer - New York

A self-motivated and team-oriented FINOP/Controller is needed for a fast-growing Self-Clearing Broker-Dealer with two locations. · ...

A fast-growing Self-Clearing Broker-Dealer seeks a self-motivated and team-oriented FINOP/Controller for immediate hire. The position offers significant growth opportunities, including the chance to become the firm's CFO within the first year. · Calculate daily and weekly 15c3-3 ...

**MUST HAVE** · 1-Significant experience in the calculation of the Daily OCC Margin Requirement based on activity on the Stock Loan Hedge program as well as options. · 2- Candidate also must have the DTCC VAR calculation. · Responsibilities · Monitor and highlight key credit risk ...

+ Risk manager for self clearing broker dealer required to have significant experience in daily OCC margin requirement calculation based on stock loan hedge program as well as options. · + Monitor key credit risk issues to management. · Perform regular review of marginable counte ...

High-growth self-clearing broker-dealer seeks a senior Controller to help build and lead both the regulatory and accounting function. · Responsibilities include: · • Net Capital & Customer Reserve · • FOCUS/SIPC/FINRA filings · • Full GAAP financials & monthly close · • GL oversi ...

Top-Tier Financial Services Firm in New York City is seeking a FINOP to support their Broker-Dealer Clients. · Bachelor's degree in accounting or finance. · FINRA Series 27 License · CPA License ,Knowledge of SEC rules and regulations, · ,primarily SEA Rule 15c3-1andSEA Rule ...

We are seeking a FINOP to support our Broker-Dealer Clients. The role involves supporting monthly, quarterly and annual financial reporting functions for the U.S. Broker Dealer and other U.S. subsidiaries in compliance with U.S. GAAP and other regulatory reporting requirements.Ba ...

+Top-Tier Financial Services Firm in New York City is seeking a FINOP to support their Broker-Dealer Clients. · +Support the monthly, quarterly, and annual financial reporting functions for the U.S. Broker Dealer and other U.S. subsidiaries in compliance with U.S. GAAP and other ...

A finance professional is sought to support financial reporting, controls and operational oversight within a U.S. broker-dealer. · ...

· Position Summary · The Manager will be primarily responsible for overseeing the day-to-day accounting and regulatory requirements for the firm's broker-dealer and regulated international operations. This role ensures that all financial reporting, regulatory capital calculation ...

Position Summary: · The Manager will be primarily responsible for overseeing the day-to-day accounting and regulatory requirements for the firm's broker-dealer and regulated international operations. This role ensures that all financial reporting, regulatory capital calculations, ...

An esteemed financial institution is seeking a Broker-Dealer Compliance Officer for its New York team. In this role, you'll help strengthen a robust compliance framework and shape key policies that uphold top regulatory standards. The firm offers comprehensive training, flexible ...

A leading broker-dealer in NYC is looking to hire a Compliance Officer. An ideal candidate will have prior broker-dealer compliance experience and will be FINRA licensed and CAMS licensed. · Day to day you will: · Develop and update compliance policies and WSPs. · Manage AML mo ...

Our client, a leading global investment bank, is looking to add an experienced Compliance professional with at least 5 years of broker-dealer experience. · ...

The Broker-Dealer Compliance Specialist will support internal assessments by conducting reviews and targeted assessments of broker-dealer operations with a strong emphasis on compliance with FINRA rules and SEC regulations. · Lead internal assessments of broker-dealer functions f ...

The Broker-Dealer Compliance Specialist will support internal assessments by conducting reviews and targeted assessments of broker-dealer operations, · Lead internal assessments of broker-dealer functions... · ...

Gemini es una plataforma global cripto y Web3 fundada por Cameron y Tyler Winklevoss en 2014 que ofrece productos e servicios cripto seguros para individuos e instituciones. · We envision a world where crypto reshapes the global financial system, · internet and money to create gr ...

Our client, a leading global investment bank,is looking to add an experienced Compliance professional with at least 5 years of broker-dealer experience. · ...

A leading broker-dealer firm is looking to hire a Compliance Analyst. An ideal candidate will have 1-3 years of experience in a broker-dealer compliance role. This position sits on a small team so will be a compliance generalist. · Day to day you will: · Assist with surveillance ...

A well-established broker dealer and investment bank is seeking to add a Series 27 Licensed accounting professional to join its high performing Regulatory Reporting team. · Experience with broker dealer regulatory reporting with a strong knowledge of SEC 15c3-1 and SEC rule 15c3- ...