Claims Examiner Series - New York

+ About The Company Our client is a global alternative investment firm employing a multi-manager model allocating capital across a broad array of independent teams with diverse strategies. Review the monthly books and records including financial statements regulatory filings net ...

A Fin-Tech Company in Manhattan is seeking a Head of Compliance who creates, manages and oversees compliance programs to ensure the bank's adherence to all relevant laws and regulations. · ...

The Chief Compliance Officer is responsible for the overall design, execution, and oversight of the firm's enterprise-wide Compliance Program. This role serves as the senior compliance authority and primary regulatory liaison. · Bachelor's degree required · Advanced degree (JD, M ...

This is a full-time, remote Compliance Associate role based in the New York City Metropolitan Area. · Knowledge of compliance concepts, regulatory frameworks, and securities regulation, including anti-money laundering and cybersecurity procedures · Experience with audit processes ...

The Regulatory Reporting Associate will prepare and review aspects of weekly and monthly customer reserve formula computations, net capital calculations, FOCUS reports for submission to regulators. · ...

A diversified financial services firm is seeking an experienced professional to join its Regulatory Reporting function within Finance. This role is responsible for ensuring compliance with U.S. broker-dealer financial responsibility rules and regulatory filing requirements. · ...

We are seeking an experienced Supervisory Analyst to join our Equities Brokerage practice at a well-established global financial services firm. · ...

Conduct quantitative analyses of information involving financial data of public institutions, including valuation of businesses. · ...

Job summary · Wealth Management Supervisory Control Lead will be responsible for assisting in building out the first line of defense day to day supervision for the US Wealth Management Business.This role focuses on risk management, supervisory controls and maintaining integrity o ...

We are partnered leading global financial services firm seeking a Fixed Income Supervisory Analyst to support its Prime Brokerage platform. · This is an excellent opportunity for a FINRA-licensed professional looking to step into a high-visibility supervisory role within a well-e ...

Cantor Fitzgerald is seeking a Compliance Associate to provide regulatory guidance and compliance oversight to its Equities businesses. · This role is ideal for a compliance professional with up to five years of experience who is ready to take on increased responsibility, · partn ...

Rodman & Renshaw LLC is a full-service investment bank headquartered in New York City. · Oversee daily, weekly, and monthly broker-dealer accounting processesManage general ledger, account reconciliations, and monthly and quarterly close/li > Prepare , review , and support FOCUS ...

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 ...

We've been engaged by a global investment platform to identify an accomplished Financial Controller FinOp. · This is an ideal role for a finance professional with deep broker-dealer operational expertise and a strong command of regulatory accounting and FINOP responsibilities. · ...

Initio Sphere is seeking qualified finance professionals to join as Certified Transaction Risk Examiners. · Examine financial models for downside risk, assumption sensitivity, and stress resilience · Evaluate valuation risk, leverage levels, and capital structure exposure · ...

Join our team in the vibrant city of New York, a hub for business and innovation. This role offers a unique opportunity to work closely with a highly ranked analyst, providing exposure to various media and internet sectors. · ...

This role partners closely with senior finance leadership and plays a critical role in overseeing regulatory reporting and financial controls for a U.S.-based broker-dealer. · Bachelor's degree in Accounting (required) · 8+ years of broker-dealer experience with hands-on exposure ...

A diversified financial services firm seeks an experienced professional for Regulatory Reporting within Finance. · ...

Senior Compliance Officer at Chardan investment bank. · ...

Under administrative direction, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite branch examinations of retail brokerage offices throughout the U.S. Exams include reviews of various superviso ...