Broker Dealer Jobs in Manhattan (NY)
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Search Results - Broker Dealer Jobs in Manhattan (NY)
ConfidentialManhattan (NY)
registered broker-dealer and an SEC-registered investment adviser. The firm has built a lean, high-caliber team and is planning significant further growth. To date, its bookkeeping, accounting, compliance, tax, payroll, and financial administration have been...
Social Capital ResourcesNew York, 3 mi from Manhattan (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...
Distinct | North AmericaManhattan (NY)
people share in the upside, they think differently, they collaborate differently and they care differently.
We're looking for audit managers who have extensive financial services experience, particularly with hedge funds and broker dealer audits.
Work...
Dynamics Executive SearchNew York, 3 mi from Manhattan (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...
New York LifeManhattan (NY)
annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities...
Partnership EmploymentNew York, 3 mi from Manhattan (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...
New York LifeManhattan (NY)
annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities...
The Bank of New York MellonNew York, 3 mi from Manhattan (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...
New York LifeManhattan (NY)
our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals.
You’ll also be able...
The Bank of New York MellonNew York, 3 mi from Manhattan (NY)
to redesign processes and improve reporting workflows and data quality
• Participate in rotation to support broker-dealer and bank regulatory reporting processes (15c3-1, FOCUS, TIC, Basel III, FR-Y9C, FR-2052a)
• Test and implement remediation and automation...
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