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The US Broker Dealer Controller/Deputy CFO is a senior management level position responsible to provide regulatory analysis and reporting in coordination with the Finance team. US Broker Dealer Controller / Deputy CFO.
ExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Proven analytical skills, understanding and demonstrated product knowledge of broker-dealer, equity sales and trading, investment banking and research coverage and production practices. US Capital Markets division of a European based banks seeks a Senior Compliance Officer providing advisory and monitoring activities in support of Investment Banking, Equity Sales and Trading, 15a-6 Research distribution, and Equity Research coverage/production.
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The Sales & Broker Support Coordinator will support the Sales Department with sales material, event set up and outreach coordination. Sales & Broker Support Coordinator. Support the department through the development and implantation of sales and broker support branding campaigns and projects.
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Preferred Qualifications In-house experience at a broker-dealer or registered investment advisor in legal or compliance Experience at a federal regulator or self-regulatory organization In-house experience in a RIA Custody business and/or Broker-Dealer Clearing Services business is a plus Outstanding law firm credentials ABOUT GOLDMAN SACHS At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow.
$170,000 - $270,000Full-timeExpandApply NowActive JobUpdated 27 days ago - UpvoteDownvoteShare Job
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Adecco is seeking a motivated individual for a VP Broker within our expanding specialist reinsurance broking team. Certifications: Associate in Reinsurance (ARe), Certified Insurance Counselor (CIC), Chartered Property Casualty Underwriter (CPCU), Certified Insurance Service Representative (CISR), Accredited Advisor in Insurance (AAI.
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A leading Financial Institution is looking for a Broker Dealer Accountant to join their growing Regulatory Reporting - team. 3+ years of broker dealer accounting and reporting experience.
ExpandApply NowActive JobUpdated 13 days ago - UpvoteDownvoteShare Job
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Identify, assess, and monitor liquidity risks related to the firm’s broker-dealer and other trading activities (prime brokerage, secured funding, derivatives) 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 business.
Full-timeExpandApply NowActive JobUpdated 30 days ago - UpvoteDownvoteShare Job
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We’re a recognized Elite Agency award winner and a leading property and casualty broker, benefits consultant, wealth manager, and retirement plan advisor. Responsible for assisting the primary Broker/Placement team on both new and existing financial institutions clients.
$20 - $25 an hourFull-timeExpandApply NowActive JobUpdated 30 days ago - UpvoteDownvoteShare Job
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Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring, AML and AFC compliance.
ExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Minimum 5 years' experience in a compliance officer role, with FINRA broker-dealer compliance experience a plus. You will have a primary focus as the deputy compliance officer for a US broker-dealer compliance program.
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As a managing yacht broker, you will be responsible for creating the strategies to meet the sales targets, create and manage your own salesperson team, organize and create support structure network for your clients.
$150,000 - $350,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Understanding of other relevant SEA, CFTC, FINRA, and/or NFA rules pertaining to broker-dealer reporting requirements. Proficiency in AxiomSL Broadridge, and/or other relevant broker-dealer back-office systems.
ExpandApply NowActive JobUpdated 29 days ago - UpvoteDownvoteShare Job
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We strive to maintain an open culture where everyone is a hands-on contributor.
ExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Symmetry Financial Group- The Brown Agency
$2,500 - $12,000 a monthPart-timeExpandApply NowActive JobUpdated 29 days ago - UpvoteDownvoteShare Job
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Join Our Team as a Freight Broker - Remote Work Available. Are you a skilled and experienced Freight Broker looking for a new opportunity? Join Our Team as a Freight Broker - Remote Work Available.
Full-timeExpandApply NowActive JobUpdated 1 month ago
buckeye job Title: broker in New York, NY
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