| Job alert | Jobs 1 - 10 of 430 |
Compliance Officer-Swap Dealer/Security-Based Swap Dealer
Natixis Corporate & Investment Banking
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Manhattan, NY, 10261
... As a member of the Compliance Advisory Team, the Compliance Officer will provide day to day coverage of SEC Security-Based Swap Dealer (SBSD) regulation, CFTC Swap Dealer (SD) and NFA regulation, including responsibility for oversight of trade ... - Apr 10
Swap Dealer Compliance Associate
Phaxis
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Manhattan, NY, 10261
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 ... - Apr 28
Head of Swap Dealer, Volcker & IB Regulatory Governance
Larson Maddox
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New York City, NY
Job Title - Head of Swap Dealer, Volcker & IB Regulatory Governance Where - Weehawken or NYC Structure - 3 days in office / 2 days WFH THE ROLE: Expertise in CFTC Swap Dealer and SEC Security-Based Swap Dealer rules. Leading a global team that ... - Apr 04
Sales Agent
Pristine Auto Group
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Bloomfield, NJ, 07003
... data entry application for finance deals knowledge of dealer center or similar dealer software products excel proficiency vehicle sales listings and management - Apr 10
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
Poker Dealer - Temporary - Aria
MGM Resorts
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Manhattan, NY, 10019
The JOB It is the responsibility of the Poker Room Dealer to perform the act of dealing and running a game in a professional manner while providing excellent guest service. THE DAY-TO-DAY Conduct and assist with operation of poker games Get players ... - Apr 15
Accounting Manager - Broker Dealer
Robert Half - US
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Manhattan, NY, 10261
... projects Requirements: 6+ years of Public and Private Accounting experience within Financial Services Knowledge of the Broker Dealer, Capital Markets or Securities industry CPA qualification Holding active Series 27 FINOP License is advantageous. ... - Apr 02
Senior Regulatory Program Manager (Broker-Dealer Implementation) - NY
Mondrian Alpha Recruitment Solutions
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Manhattan, NY, 10261
... with 10-15+ years of experience in regulatory program management Preferably, a background with a prominent Big 4 consulting firm Expertise in Dodd-Frank regulations and a proven track record in implementing broker-dealer programs within the U.S. ... - Apr 29
Senior Accountant - Banking Broker Dealer
Robert Half - US
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Manhattan, NY, 10261
... review of holding company and broker dealer results, and inter-company confirmations Reconciliation and control of the staff expense system, including the review and control of staff submissions, payment processing and balance sheet disclosure. ... - Apr 02
Financial Analyst Senior Associate - Broker Dealer
Robert Half - US
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Manhattan, NY, 10261
This group is responsible for providing financial and strategic business partnering to the firm's Executive Committee in connection with a wide range of initiatives including overall business performance, business strategy, new opportunities... - Apr 24