Director, Broker-Dealer Operations - New York

A rapidly growing global investment and trading platform empowering retail investors with cutting-edge tools, · data,and education. · 10+ years in Broker-Dealer operations or operations control ...

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 ...

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 ...

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

We are seeking a highly motivated and detail oriented individual to work at our growing U.S. broker-dealer subsidiary of a global financial services group based out of Spain. · Assist with day to day accounting responsibilities pursuant to NFA/CME registered Futures Commission Me ...

We are looking for a Broker Dealer Operations Lead to join our team in New York. As a key member of our operations team, you will be responsible for ensuring the smooth operation of our broker dealer business. · ...

We are looking for an Operations Lead to join our team at Flourish. As an Operations Lead, you will be responsible for leading the Broker Dealer Operations team and ensuring that daily, weekly, monthly, and quarterly tasks are completed in support of our broker dealer. · ...

We are seeking a highly skilled and detail-oriented Operations Specialist to join our team. · Answering clients questions and inquires as they come inPreform daily tasks on spread sheets and other programsSubmit and confirm wire requests from clients · ...

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

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 Broker-Dealer Surveillance Analyst is sought after by a U.S. Based Financial Services Company to join their growing team in New York. · ...

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- ...

Betterment is a leading technology-driven financial services company that offers investing and retirement solutions for retail investors and investment advisors as well as financial wellness solutions including a 401(k) for small medium-sized businesses. · ...

JonesTrading Institutional Services LLC is seeking a Compliance Specialist to support broad-based compliance coverage for its institutional trading and sales divisions. · ...

Gemini is seeking a dynamic self-starter to lead our broker-dealer compliance program. · ...

Seeking experienced compliance professionals to oversee regulatory governance and drive exam readiness for Broker Dealer firm. Two open positions available: Compliance Analyst (Governance / Compliance Ops) and Senior BD Coverage. · Owning trackers, governance cadence, metrics/rep ...

JonesTrading Institutional Services LLC, an institutional broker-dealer, seeks a Compliance Specialist responsible for broad-based compliance coverage supporting nearly all aspects of the firm's businesses. · ...

h2>Job summary · p>The Broker Dealer Operations Specialist plays a central role in delivering world‑class customer and transaction servicing for alternative investment products./p> ...