Series 7 Broker

Our client, a certified public accounting firm, have been partnering with financial service businesses looking to outsource specific functions.Our client, a certified public accounting firm, have been partnering with financial service businesses looking to outsource specific functions for over 40 years. Headquartered in New York, expanding their locations to...

We represent alternative investment financial technology platform looking to hire an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team and focus on Marketing. Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by their registered broker dealer...

We represent alternative investment financial technology platform looking to hire an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team and focus on Marketing. Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by their registered broker dealer...

We represent alternative investment financial technology platform looking to hire an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team and focus on Marketing. Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by their registered broker dealer...

About Our Client My client is a prominent capital markets and investment group based in the heart of NYC. Job Description Prepare information for regulatory filingsWork with CFO on updating policies and proceduresAssist with the delivery of information for the annual external audit of the broker dealer books and recordsPrepare monthly management...

**NY - Compliance Officer in Broker Dealer** **Location:** New York, US *Intesa Sanpaolo is the banking group leader in Italy. Assisting more than 14,6 milion of retail customers through a network of 5360 branches, it significantly supports the development of Companies and gives an important sustain to the country's growth.* *The Group has a selected retail...

**Position Summary & Overall Purpose** The Compliance Associate is responsible for completing a wide variety of compliance and assigned supervisory tasks with respect to the agency’s securities business through MML Investors Services, LLC. (“MMLISI”) and its insurance business with Massachusetts Mutual Life Insurance Company (“MassMutual”). This...

Our client, a well-established Alternative Investments firm is seeking to add a Compliance professional to support the growth of the business with an opportunity to join a high performing team. Key responsibilities include: Developing ongoing policies & procedures & monitoring the Compliance program in accordance with FINRA regulations. Reviewing personal...

Our client, a well-established Alternative Investments firm is seeking to add a Compliance professional to support the growth of the business with an opportunity to join a high performing team.Key responsibilities include:Developing ongoing policies & procedures & monitoring the Compliance program in accordance with FINRA regulations.Reviewing personal...

We are looking for a highly skilled and experienced Broker Dealer Accounting Manager to join our dynamic finance team. This pivotal role involves overseeing the financial and regulatory reporting processes for our broker-dealer operations. The successful candidate will have a strong background in broker-dealer accounting, regulatory compliance, and financial...

Job DescriptionJob DescriptionWe are looking for a highly skilled and experienced Broker Dealer Accounting Manager to join our dynamic finance team. This pivotal role involves overseeing the financial and regulatory reporting processes for our broker-dealer operations. The successful candidate will have a strong background in broker-dealer accounting,...

Job DescriptionJob DescriptionWe are looking for a highly skilled and experienced Broker Dealer Accounting Manager to join our dynamic finance team. This pivotal role involves overseeing the financial and regulatory reporting processes for our broker-dealer operations. The successful candidate will have a strong background in broker-dealer accounting,...

**Compliance Officer (Advisory & Broker Dealer)** at Leumi USA New York, NY USA * Key participant in and contributor to the execution of LISI (Leumi Investment Services Inc) Compliance Program, ensuring alignment with the Firms compliance and strategic direction and recommend policy and/or action based on internal and external industry developments for area...

**Job title: Broker Dealer Controller** **Location: New York City, NY** **Fulltime** **New York-based boutique Broker-Dealer and wealth management firm looking for an accounting and finance professional to be the firm’s Controller and FinOp. What we are looking** **for**: - **7+ years of broker-dealer accounting experience - CPA license - BD...

Who You'll Work With: The Broker-Dealer Accounting/Regulatory Reporting team of Bernstein Institutional Services is in search of a manager, Broker Dealer Accounting and Reporting to join their newly formed U.S. Controller's team. The candidate will report to the Chief Financial Officer and will be involved in the monthly and quarterly close of the Company's...

Hold Brothers Capital, LLC, is a FINRA Registered, SEC, Self-Clearing Broker Dealer. We strive to be a complete destination for traders looking to maximize their performance in today’s financial markets. We trade the US Equity Markets only. Our proprietary traders focus primarily on technical analysis to develop their trading strategies. By utilizing...

Responsibilities: Management reporting Multiple US and UK entity audits as well as consolidated audit US and UK regulatory reports US and UK tax filings and Partner tax estimates Financial planning and analysis Cash management Review of monthly Concur T&E reports Net capital calculations Merchant banking books and records US and UK payroll and accounts...

Job DescriptionJob DescriptionHold Brothers Capital, LLC, is a FINRA Registered, SEC, Self-Clearing Broker Dealer. We strive to be a complete destination for traders looking to maximize their performance in today’s financial markets. We trade the US Equity Markets only. Our proprietary traders focus primarily on technical analysis to develop their trading...

Our Property & Casualty Brokers provide high-quality service to our clients. In the private equity M&A space, they work to ensure satisfaction by balancing the quality of service and speed of response. Supports due diligence activities for existing and prospective clients. Rounds out accounts as opportunities arise. Maintains a significant relationship...

Our Property & Casualty Brokers provide high-quality service to our clients. In the private equity M&A space, they work to ensure satisfaction by balancing the quality of service and speed of response. In this role, the Broker: Markets renewals and new business. Evaluates existing coverages and makes recommendations as needed. Supports due diligence...