Upvote
Downvote
Head of Clearance And Settlement
Share Job
- Suggest Revision
$150
Full-time
- Description FNZ Securities USA, headquartered in New York City, is a self-clearing broker-dealer which provides fully disclosed clearing and custody services to introducing broker-dealers and RIAs in the wealth management space.
- We are currently going through the application process with FINRA to become a licensed clearing broker-dealer and we expect to commence operations in 2024.
- Collaborate with the second and third lines of defense to develop policies and procedures and risk assessments to identify and mitigate risk and compliance gaps.
- Collaborate with internal stakeholders such as trading desks, risk management, and technology teams to streamline processes and address issues promptly.
- Currently holds a FINRA Series 24 license.
Active Job
Updated TodaySimilar Job
Relevance
Active