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The Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker-dealer activities across Societe Generale's operations, reporting on the compliance risks and issues to local, regional, and head office management.
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Develop and effectively administer a compliance monitoring program including, but not limited to, portfolio reviews, anti-money laundering, client documentation, gift and entertainment reporting, FCPA reporting, new account reviews, conflict mitigation, etc.
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Engage in customer facing and inter-dealer repo trading through various trading platforms and internal systems, while adhering to guidelines set by risk, regulatory reporting, and credit.
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This role will focus on, but not be limited to, providing Compliance coverage of Operations functions with an emphasis on non-financial regulatory reporting requirements in the Americas region such as CFTC and SEC swap dealer transaction reporting.
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Previous experience (2+ years) in trade support or operations role within a broker-dealer, bank or trading firm. Assist with regulatory reporting validations (CAT, 606) Previous experience (2+ years) in trade support or operations role within a broker-dealer, bank or trading firm.
$110,000 - $125,000 a yearFull-timeExpandApply NowActive JobUpdated 10 days ago - UpvoteDownvoteShare Job
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Senior Operations Manager Broker Dealer/Financial Services Series 7/63 Jersey City, NJ-Hybrid $120,000-145,000 + Great Benefits! Help identify and draft requirements and testing plans for the development of a back-office system Manage/reconcile daily cash balances and oversee cash reporting and projections.
$120,000 - $145,000 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Our client is a leading independent office technology dealer servicing the New York City metro area (NYC, Westchester, New Jersey and Long Island). Reporting into the Sales Manager you will have the opportunity to work in a hybrid model.
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Train and motivate dealer sales force. They are a locally recognized distributor of Copier (Canon, Kyocera, and Konica Minolta) and high-end Production Equipment. Print Services, Business Phone Services, Mailing Solutions and Office Water Solutions, plus Equipment Leasing, Service and Managed Services Company.
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MAIN RESPONSIBILITIES: Develops new business by identifying and qualifying potential accounts; initiating, developing, and closing salesExplaining document management solutions and IT service capabilitiesExpands sales in existing accounts by introducing new products and services; developing new applications.
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Exposure to hedge fund and/or broker dealer structures. Reporting to our US Legal Counsel, this role offers the opportunity to work closely with our Legal, Compliance, Traders, HR, Tax, Finance, and Operations teams and gain exposure to Maven's different business areas.
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Founded in 2014, we're a remote-first company with 550 employees and over 30 OEM and 4,000 dealer partners. We are hiring a talented and experienced Risk Director to lead projects related to the management and loss forecasting for Octane's credit portfolio of nearly $2B. In this role, you will be responsible for designing and improving Octane's approach to loss forecasting, stress testing, and performance management.
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Explaining document management solutions and IT service capabilities. Positions are available in NYC, Long Island, Westchester and Rockland Counties and New Jersey (North & Central). Contributes information to market strategy by monitoring competitive products and reactions from accounts.
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1 - 2 years experience working for an exchange, a regulatory organization, a Dealer (BD), a Futures Commission Merchant (FCM) or similar organization (OPEN TO RECENT GRADUATES WITH RELEVANT INTERNSHIP OR CO-OP EXPERIENCE.
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The Broker-Dealer Accounting/Regulatory Reporting team of Bernstein Institutional Services is in search of a manager, Broker Dealer Accounting and Reporting to join their newly formed U.S. Controller's team.
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The candidate will report to the Chief Financial Officer and will be involved in the monthly and quarterly close of the Company's introducing broker-dealer. Prepare audited financial statements and provide information for the Company's SEC reporting requirements.
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dealer reporting jobs in New York, NY
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