Broker Dealer Relations Coordinator

Our client a multi-strategy fund is seeking a Broker Dealer Relations Coordinator to join their team. Position Overview:We are seeking a highly organized and detail-oriented Broker Relations Coordinator to support our portfolio managers and oversee the tracking of all Corporate Access activities for the firm. The ideal candidate will have 2-3 years of...

Job DescriptionYou will have strong analytical, process management and communication skills with a proven ability to work with cross-functional teams.As the Chief Compliance Officer, you will be responsible for managing interactions with regulatory agencies to ensure compliance with applicable laws and regulations.You will be responsible for preparing...

Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!Responsibilities:Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment productsProvide technical guidance and expertise, promote examination...

Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!Responsibilities:Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment productsProvide technical guidance and expertise, promote examination...

Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!Responsibilities:Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment productsProvide technical guidance and expertise, promote examination...

Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!Responsibilities:Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment productsProvide technical guidance and expertise, promote examination...

Institutional Broker-Dealer Associate General Counsel DLR Associates Recruiting seeks an experienced Associate General Counsel to advise and support sales and trading teams for Fixed Income and Equities. Key responsibilities include leading trading documentation and agreement negotiations, as well as advising on international and domestic laws/regs (SEC,...

Position Title: Business Analyst (Wealth Management)Location: Midtown/Manhattan, NY (Hybrid)Duration: 6 Months contract to hireJob Description:Individuals must have Minimum of 5 years’ experience at a US Broker Dealer as a business analyst. Working in Equities, ETO’s, Mutual Funds and Fixed Income Markets. Some experience in Margin Lending and Security...

This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team. The ideal candidate will have: 3-10 years Broker Dealer and Advisory compliance experience. Strong knowledge of SEC, FINRA, and other regulations. SEC Investment Advisors Act of 1940 experience Develop and maintain...

This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team. The ideal candidate will have: 3-10 years Broker Dealer and Advisory compliance experience. Strong knowledge of SEC, FINRA, and other regulations. SEC Investment Advisors Act of 1940 experience Develop and maintain...

Our client, a top international financial services company, is seeking an NY barred Broker Dealer attorney for a 2-3 month (approx) duration.Equities and fixed income trading,Related SEC and FINRA regulatory requirements,Muni advisor issuesCFTC Introducing Broker requirements.

Our client, a top international financial services company, is seeking an NY barred Broker Dealer attorney for a 2-3 month (approx) duration.Equities and fixed income trading,Related SEC and FINRA regulatory requirements,Muni advisor issuesCFTC Introducing Broker requirements.

Location: You must reside in either the NYC (Five Boroughs) or NJ area; however, this is a fully REMOTE role HQ is in Pasadena, CA Regional Director, Sales & Dealer Development We are currently seeking a Regional Director to direct the development of Fox Dealer Interactive strategies and product/service offerings within a regional geography. This position...

Location: You must reside in either the NYC (Five Boroughs) or NJ area; however, this is a fully REMOTE role HQ is in Pasadena, CA Regional Director, Sales & Dealer Development We are currently seeking a Regional Director to direct the development of Fox Dealer Interactive strategies and product/service offerings within a regional geography. This position...

Our client, a top international financial services company, is seeking an NY barred Broker Dealer attorney for a 2-3 month (approx) duration.Equities and fixed income trading,Related SEC and FINRA regulatory requirements,Muni advisor issuesCFTC Introducing Broker requirements.

Our client, a top international financial services company, is seeking an NY barred Broker Dealer attorney for a 2-3 month (approx) duration.Equities and fixed income trading,Related SEC and FINRA regulatory requirements,Muni advisor issuesCFTC Introducing Broker requirements.

A leading tech investment firm in New York City, Tandym Group, is seeking an experienced Finance professional to fill the role of Head of Regulatory Reporting for Swap Dealers.This position is responsible for establishing, maintaining, and developing the company's swap dealer financial and regulatory reporting framework for swap dealer activities.Key...

Job OverviewAs a Broker Relations Manager at Savoy Associates, you will play a crucial role in building and maintaining relationships with broker and carrier partners. Your primary focus will be on partnering with our sales team to drive revenue growth and expand our market presence.Key Responsibilities:Recruit and train individual and Medicare brokers...

Help establish best in class risk and controls by testing and monitoring the broker dealer program of one of the largest financial services companies in NA.Client DetailsOne of the top 10 largest financial services firms in the world. DescriptionThe Monitoring and Testing Team sits in Core Compliance and covers the the firm's and certain global businesses,...

About UsADESA, a Carvana owned company, currently operating over 50 locations throughout the US. Our Auto Auctions, some up to 200 acres, provide a wide array of vehicle services including repair & reconditioning, auction remarketing, and many of our sites serve as market hub distribution centers. Our inventory comprises hundreds of thousands of vehicles...