| Job alert | Jobs 31 - 40 of 339 |
CUSO Compliance Risk Assessment Officer
Crédit Agricole CIB
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Manhattan, NY, 10261
... a regulatory agency having a focus on Risk Assessments · Knowledge of compliance rules and regulations (FED, OCC, NYDFS, SEC, FINRA) · Understanding of regulatory and compliance obligations for a Foreign Bank Organization (FBO) operating in the U.S. ... - Apr 20
Regulatory Operations Analyst (Temp to Perm)
Cantor Fitzgerald
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Manhattan, NY, 10261
... Research, analyze and respond to regulatory inquiries, specifically but not limited to EBS requests, from the SEC and FINRA. Analyze complex trading data and review regulatory response files, interact with Compliance, Operations, Regulatory Control, ... - May 03
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
Audit Director- CPA
Marcum Search
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New York City, NY
... Experience servicing the needs of publicly traded, (SEC), clients is required. Marcum Search LLC offers premier professional recruiting services. Building on Marcum Group's personalized approach to accounting and financial services, the members of ... - May 03
Valuations Manager
Atlantic Group
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Manhattan, NY, 10261
... Work closely with other areas of our business (Business Development, Investor Relations, Operations, Underwriting) for specific tasks that arise such as fundraising and material preparation for SEC filings, the Chief Risk Officer, Board of Directors ... - Apr 19
Regulatory Operations Associate (Temp to Perm)
Cantor Fitzgerald
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Manhattan, NY, 10261
... Research, analyze and respond to regulatory inquiries, specifically but not limited to EBS requests, from the SEC and FINRA. Analyze complex trading data and review regulatory response files, interact with Compliance, Operations, Regulatory Control, ... - May 03
Staff Backend Engineer
Fractional
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Manhattan, NY, 10261
... We are a small team with deep experience in fintech, real estate, and SEC regulations backed by Fifth Wall, Left Lane, CRV, and Y Combinator. What We Look For Prior experience building, launching and maintaining products at scale, both on the ... - May 06
Staff Accountant
Hold Brothers
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Manhattan, NY, 10278
... recommendations for process and/or control modifications, and oversee any such implementation in compliance with FINRA and SEC requirements Manage daily accounting duties including, but not limited to, account payables/receivables, account/vendor ... - Apr 28
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
Global Corporate Controller (On-Site Hudson Yards)
BLADE
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Manhattan, NY
Global Corporate Controller (On-Site @ Hudson Yards) Reporting structure Reporting into: Chief Accounting Officer Peers: Director of FP&A, Director of SEC Reporting, Director of SOX & IA Subordinates: 4 staff in New York (Manager, AR, AP) 3 staff in ... - Apr 21