| Job alert | Jobs 11 - 20 of 456 |
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
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
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
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
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
Risk Management - Liquidity Risk Management - Markets/Broker-Dealer
JPMorgan Chase
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New York, NY
... In this role, you will interact and partner with business units, corporate treasury, and other risk stripes, to obtain, understand, analyze, and draw conclusions with respect to potential liquidity risk implications within the firm's broker-dealer ... - Apr 21
Sr. Financial Analyst - Dealer
Konica Minolta Business Solutions, U.S.A., Inc.
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Ramsey, NJ
Overview: The Sr Financial Analyst position is a finance, accounting, and sales support role within the Dealer channel. The purpose of the position is to provide business and financial analysis and support to the Dealer channel, Marketing department ... - Apr 24
Broker Dealer Compliance - Assistant Vice President / Vice President
icapitalnetwork
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Manhattan, NY, 10007
... 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 21