Broker Dealer Jobs in Jericho (NY)
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Financial Industry Regulatory Authority-Jericho (NY)
as Associate Principal Analyst
• ability to work independently and in groups
• strong analytic and organizational skills
• excellent oral and written communication
• knowledge of securities and broker-dealer services and marketing methods
• in-depth knowledge...
Madison-Davis, LLC-New York, 25 mi from Jericho (NY)
Senior Treasury / Liquidity Management – Broker-Dealer
New York City | Financial Services
I’m working with a highly regarded, growing investment bank and broker-dealer that is looking to add a senior Treasury / Liquidity Management professional...
Financial Industry Regulatory Authority-Jericho (NY)
of experience, or equivalent combination
• Advanced degree in intelligence studies, public policy, business, or law preferred
• Experience in broker-dealer or financial institution context or government agency with focus on intelligence preferred
• Proven...
Abacus Group, LLC-Jersey City, 27 mi from Jericho (NY)
Our client is a global bank. They seek a Director, Broker Dealer Controller to join their Jersey City, NJ office.
Responsibilities
• Direct month-end close and financial reporting processes to ensure accuracy, timeliness, and compliance with US...
Social Capital Resources-New York, 25 mi from Jericho (NY)
on a monthly, quarterly, and annual basis
• Preparing journal entries and monthly account reconciliations
• Compliance with SEA Rule 15c3-3 and SEA Rule 15c3-1.
• FOCUS and FINRA reporting
• Broker Dealer Experience Required...
BBVA-New York, 25 mi from Jericho (NY)
Seeking a highly motivated, detail oriented individual to work at a growing U.S. broker-dealer subsidiary of a global financial services group based out of Spain.
Job Description
Accounting Responsibilities:
• Create and maintain accounting...
Dynamics Executive Search-New York, 25 mi from Jericho (NY)
Broker Dealer Compliance Advisory- Equities & Options
We are working with a financial services organization seeking an experienced Compliance professional for a senior advisory position supporting its markets businesses.
The role will work closely...
The Bank of New York Mellon-White Plains (NY), 20 mi from Jericho (NY)
Overview
As Senior Vice President in Markets Compliance, you will serve as a strategic partner advising business and platform leads on US broker-dealer laws and regulations. You will help design, implement, and maintain a robust compliance program...
Partnership Employment-New York, 25 mi from Jericho (NY)
Responsibilities:
• Partner with executive leadership to shape, execute, and continuously strengthen the firm's compliance framework in alignment with applicable securities industry regulatory obligations.
• Provide strategic oversight of...
BNY-Jersey City, 27 mi from Jericho (NY)
Job Description
BNY Pershing is a subsidiary of BNY that provides clearing, custody, and other financial business solutions to investment advisors, broker-dealers, and wealth managers. It supports clients with technology, operational services...
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