Broker Dealer Compliance

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...

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...

**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...

Our client is a leading quantitative investment firm looking to find a Chief Compliance Officer for the buildout of their Clearing Broker-Dealer requirements.Primary Accountabilities / ResponsibilitiesDesigning and implementing a comprehensive broker-dealer compliance program, protecting the firm from regulatory risk.Managing firm’s relationships with the...

Location: New York, NY, US ** Compliance Officer - US Broker-Dealer** **About Swiss Re** Swiss Re is one of the worlds leading providers of reinsurance, insurance and other forms of insurance-based risk transfer, working to make the world more resilient. We anticipate and manage a wide variety of risks, from natural catastrophes and climate change to...

Job DescriptionJob DescriptionPosition Details: Client: Banking and FinancialRole: Broker-Dealer Operations and SEC Compliance SpecialistProject Location: New York, NY (Hybrid/Onsite)Project Duration: 6+ MonthsPay Range: $45/hour to $50/hourJob Description:The role resides within the Client Asset Control Group (CACG) Americas (AMRS) region. CACG AMRS is a...

**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...

The Business Analyst is responsible for supporting a broker-dealer firm's efforts to document and strengthen the support model for Middle Office processing for US Govt trading. This role requires a deep understanding of the functions, obligations and reporting requirements for market participants. The BA will work closely with the broker-dealer's management...

Currently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations.Responsibilities:Lead compliance efforts for all...

Currently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations.Responsibilities:Lead compliance efforts for all...

Currently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations.Responsibilities:Lead compliance efforts for all...

Currently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations. Responsibilities: Lead compliance efforts for...

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,...

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...

Job DescriptionJob DescriptionJob Title: Broker-dealer ExpertIndustry: BankingLocation: New York, NYDuration: 12-month contract (with potential for extension based on performance)Shift: Monday to Friday | 8:30 am to 5 pmPay Rate: $45/hr to $50.80/hr Job Description:Join the Client Asset Control Group (CACG), a Global Markets Operations team at Bank.As a...

Job DescriptionJob DescriptionJob Title: Broker-dealer ExpertIndustry: BankingLocation: New York, NYDuration: 12-month contract (with potential for extension based on performance)Shift: Monday to Friday | 8:30 am to 5 pmPay Rate: $45/hr to $50.80/hr Job Description:Join the Client Asset Control Group (CACG), a Global Markets Operations team at Bank.As a...

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...

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...