Current jobs related to Broker Dealer Reporting Control Specialist - Jersey City - Madison-Davis, LLC
-
CFO Regulatory Reporting Controller II
3 weeks ago
Jersey City, United States Hispanic Technology Executive Council Full timeAt Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. One of the keys to driving Responsible Growth is being a great place to work for our teammates...
-
Senior Accountant
4 months ago
New York City, United States Robert Half - US Full timeResponsibilities: Ensuring regulatory compliant reporting, and all aspects of general ledger integrity and balance sheet substantiation Developing a good understanding of the investment bank product set and systems and how these interface into the financial reporting process Develop a sound understanding of US GAAP related to investment bank products and...
-
Senior Financial Reporting Specialist I
2 weeks ago
Jersey City, New Jersey, United States Sumitomo Mitsui Banking Corp Full timeJob SummarySumitomo Mitsui Banking Corp. is seeking a highly skilled Financial Reporting Specialist to join our team. As a key member of our Accounting department, you will be responsible for ensuring the accuracy and completeness of our financial reports.Key ResponsibilitiesPerform monthly balance sheet substantiation process, including reviewing GL account...
-
Director of Broker Dealer Compliance
2 days ago
new york city, United States Social Capital Resources Full timeTop-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...
-
Head of Trading Compliance
3 days ago
new york city, United States Larson Maddox Full timeA broker-dealer and investment bank is seeking a Head of Trading Compliance to run the day-to-day execution of the compliance program covering the trading desk, focused on equities and fixed income. The role reports directly to the Chief Compliance Officer with at least one direct report assisting with the daily execution of the program. An ideal background...
-
Senior Financial Reporting Specialist I
7 days ago
Jersey City, New Jersey, United States Sumitomo Mitsui Banking Corp Full timeJob SummarySMBC Group is a leading global financial institution with a rich history and diverse range of financial services. As a Senior Financial Reporting Specialist I, you will play a critical role in ensuring the accuracy and integrity of our financial reporting processes. This position requires a strong understanding of financial reporting principles,...
-
Head of Swap Dealer Regulatory Reporting
3 months ago
Jersey City, United States Madison-Davis, LLC Full timeTitle: Head of Swap Dealer Regulatory ReportingOffice Status: Hybrid 2x a week in Jersey CitySalary: $250,000 Base + BonusWe’re representing a multi-billion-dollar tech-driven investment firm. Launched in 2018 and now publicly traded (their stock price is up over 40% over the past year – over $5b AUM) they specialize in trading and strategic advisory...
-
Head of Swap Dealer Regulatory Reporting
4 days ago
jersey city, United States Madison-Davis, LLC Full timeTitle: Head of Swap Dealer Regulatory ReportingOffice Status: Hybrid 2x a week in Jersey CitySalary: $250,000 Base + BonusWe’re representing a multi-billion-dollar tech-driven investment firm. Launched in 2018 and now publicly traded (their stock price is up over 40% over the past year – over $5b AUM) they specialize in trading and strategic advisory...
-
Head of Swap Dealer Regulatory Reporting
3 months ago
Jersey City, United States Madison-Davis, LLC Full timeTitle: Head of Swap Dealer Regulatory ReportingOffice Status: Hybrid 2x a week in Jersey CitySalary: $250,000 Base + BonusWe’re representing a multi-billion-dollar tech-driven investment firm. Launched in 2018 and now publicly traded (their stock price is up over 40% over the past year – over $5b AUM) they specialize in trading and strategic advisory...
-
Broker Dealer Compliance Associate Director
4 days ago
new york city, United States Tandym Group Full timeA financial services firm is seeking an experienced professional to join their growing team as a Compliance Associate Director.Responsibilities:Work closely on compliance matters with client personnelAssist broker-dealer clients through regulatory examinations and respond to regulatory inquiriesAdvise clients regarding compliant business practices Write,...
-
Finance Operations Specialist
2 weeks ago
Jersey City, New Jersey, United States Tradeweb Full timeJob SummaryWe are seeking a highly skilled Finance Operations Specialist to join our team at Tradeweb. As a key member of our Finance and Accounting department, you will be responsible for managing and administering accounting procedures within our Dealerweb business.Key ResponsibilitiesReconcile and manage product revenue, including associated accounting...
-
Buyer/Broker
4 months ago
Panama City, United States OneWater Full timeJob DescriptionJob DescriptionDescription:Buyers/Brokers at OneWater stores are passionate about delighting customers and achieving or exceeding their volume and margin sales goals by utilizing defined sales processes as part of a seamless team. The position is exempt.Duties & ResponsibilitiesEffectively follows successful broker processes, including timely...
-
AML Compliance Specialist
4 weeks ago
Jersey City, New Jersey, United States Lord Abbett Full timePosition Overview:About Lord Abbett:Established in 1929, Lord Abbett stands as an independent entity dedicated solely to the management of assets. Throughout our journey, we have cultivated a distinguished reputation for our leadership, influence, and innovative approaches within the asset management sector. Our independent viewpoint, commitment to active...
-
Head of Regulatory Reporting
3 days ago
Jersey City, New Jersey, United States Madison-Davis, LLC Full timeHead of Swap Dealer Regulatory ReportingMadison-Davis, LLC is seeking a seasoned professional to lead our Swap Dealer Regulatory Reporting team. As a key member of our finance department, you will be responsible for ensuring compliance with all swap dealer financial regulatory requirements, including those set by the CFTC and NFA.Key Responsibilities:Oversee...
-
Transportation Specialist
2 weeks ago
Jersey Village, Texas, United States Dealer Integrated Services Full timeJob Summary:We are seeking a reliable and detail-oriented Transportation Specialist to join our team at Dealer Integrated Services. As a key member of our operations team, you will be responsible for delivering and picking up vehicles to and from client locations outside of the dealership.Key Responsibilities:• Conduct pre-trip safety inspections to ensure...
-
Collateral Specialist
19 hours ago
Jersey City, United States LevelUP HCS Full timePosition Overview: The Collateral AVP will assist the VP of Collateral in the daily oversight; including process approvals related to Collateral Operations. Collateral Operations consists of the following but not limited to: Collateral Call Issuance for Variation Margin and REG Initial Margin, Variation Exposure, Material Terms and Initial Margin...
-
Collateral Specialist
14 hours ago
Jersey City, United States LevelUP HCS Full timePosition Overview: The Collateral AVP will assist the VP of Collateral in the daily oversight; including process approvals related to Collateral Operations. Collateral Operations consists of the following but not limited to: Collateral Call Issuance for Variation Margin and REG Initial Margin, Variation Exposure, Material Terms and Initial Margin...
-
Collateral Specialist
16 hours ago
jersey city, United States LevelUP HCS Full timePosition Overview: The Collateral AVP will assist the VP of Collateral in the daily oversight; including process approvals related to Collateral Operations. Collateral Operations consists of the following but not limited to: Collateral Call Issuance for Variation Margin and REG Initial Margin, Variation Exposure, Material Terms and Initial Margin...
-
Dealer Services Specialist II
3 months ago
Grove City, United States Cox Communications Full timeYoull help provide outstanding service and foster lasting relationships within the automotive community. Heres a closer look at how youll make an impact:Represent the dealer sales lane on sale days and promote Manheim products and services. Receiv Specialist, Dealer, Vehicle, Service, Retail
-
Financial Advisor
4 months ago
Jersey City, United States The GMS Group Full timeJob DescriptionJob DescriptionQualified individuals will work to pass the Series 7 brokers exam. While studying they will fine tune sales strategies working with an experienced Senior Broker earning over $1million net annually. Those selected will gain valuable hands on experience and a securities license. GMS established in 1979 specializes in fixed income...
Broker Dealer Reporting Control Specialist
3 months ago
Rate: $60/hour
- Perform all aspects of regulatory reporting level 2 control reviews:(identification of financial risk areas, walkthroughs, testing execution, communication and follow-up of improvement areas) on 15c3-1, 15c3-3, 17a-13, 17a-5, Finra 2231, customer statement, Finra 4210 etc.
- Propose improvements to the operational and financial control framework on broker dealer regulatory reporting processes
- Monitor on the applicable perimeter, the evolution of the risks, the normative and regulatory changes and the projects