| Job alert | Jobs 11 - 20 of 521 |
Broker Dealer Compliance - Assistant Vice President / Vice President
iCapital
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New York City, NY
... Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by iCapital's FINRA registered broker dealer subsidiary and SEC registered investment advisors. This individual will be responsible ... - Apr 17
Broker Dealer Compliance - Assistant Vice President / Vice President
iCapital
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Manhattan, NY, 10261
... Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by iCapital's FINRA registered broker dealer subsidiary and SEC registered investment advisors. This individual will be responsible ... - May 02
Head of U.S. Dealer Execution Business Credit
MarketAxess
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Manhattan, NY, 10261
... The Role We are seeking a highly qualified candidate who will overall responsibility of our Dealer-to-Dealer business, reporting into the Global Head of Trading Solutions. Responsibility for developing a strategic business plan and revenue targets ... - May 03
Dealer Account Manager
Westlake Services
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Brooklyn, NY, 11210
... Westlake Financial believes in PEOPLE with the PURPOSE and PASSION to assist our more than 43,000 dealer partners throughout North America. Our Dealer Account Managers are individuals with the vision and dedication to provide world-class customer ... - May 06
C++ Developer (Dealer Software)
GMS Advisors
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Manhattan, NY, 10261
... Implement code for interfacing with the dealer trading system Be able to understand existing code base for existing asset classes and be able to enhance them within the existing infrastructure and coding conventions Ensuring the code is tested ... - May 06
Audit Manager - Capital Markets/Broker Dealer
Rsm
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New York City, NY
... RSM is looking for a Manager to join our Capital Markets practice, which specializes in serving, introducing and clearing Broker Dealer clients of the firm. Our Capital Markets practice is nationally integrated and operates across geographies as a ... - May 03
Head of Swap Dealer, Volcker & IB Regulatory Governance
Larson Maddox
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New York City, NY
THE ROLE: Expertise in CFTC Swap Dealer and SEC Security-Based Swap Dealer rules. Leading a global team that oversees regulatory requirements and control frameworks. Has experience providing advisory guidance for complex regulations, conducting risk ... - May 01
Dealer Account Manager
Hankey Group External
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Brooklyn, NY, 11210
... Westlake Financial believes in PEOPLE with the PURPOSE and PASSION to assist our more than 43,000 dealer partners throughout North America. Our Dealer Account Managers are individuals with the vision and dedication to provide world-class customer ... - May 06
Commercial Broker Dealer Chief Compliance Officer - Sr. Director
Capital One
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New York City, NY
NYC 299 Park Avenue (22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director will be the Commercial Broker Dealer Chief Compliance Officer (“BD CCO”) for three ... - Apr 30
Assistant General Counsel, Broker-Dealer Attorney
New York Life
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New York City, NY
... The New York Life Office of General Counsel is seeking a strategic and practical retail broker-dealer attorney to join the legal team supporting New York Life’s Wealth Management division, consisting of NYLIFE Securities, a registered introducing ... - Apr 12