Sr. Engineering Manager, Broker Dealer - New York

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. · ...

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 ...

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 ...

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 ...

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

· Company Description · Broker - Dealer, FINRA Member. U.S. Based Financial Services Company. Offices in major U.S. Cities. · Job Description · Currently seeking a Broker-Dealer Surveillance Analyst to join a growing team in the New York area. The ideal candidate will preferably ...

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- ...

Support FINRA registration processes for Capital Markets clients and lead business analysis activities for regulatory and operational initiatives. · Review translate and prioritize business requirements with IT Perform project management tasks to help prioritize unblock issues an ...

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... · ...

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 ...

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. · ...

The Director of Broker-Dealer Operations will lead the team and oversee all financial and operational aspects of our broker dealer business.As Director of Broker-Dealer Operations you will lead the team and oversee all financial and operational aspects of our broker dealer busine ...

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. · ...

A large financial institution is seeking a compliance professional to join a senior advisory function. · ...

We are looking to add an AML Compliance Analyst to our team. Responsibilities include running suspicious activity searches and reviewing AML Sanctions Alerts. · ...