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Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance! Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment products.
$175,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Entity Overview: Lloyds Securities Inc. (LSI), a broker-dealer registered with the Securities and Exchange Commission (SEC), and FINRA member firm, is the U.S. securities arm of LBCM plc UK. Lloyds Securities' businesses include Debt Capital Markets, Bond Syndicate, Private Placements and Credit Sales & Trading.
$215,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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3-5 years in the financial services industry at a broker/dealer or regulatory agency (i.e. FINRA, SEC, CFTC), ideally with an emphasis on surveillance with exposure to business, IT, operations, support, and control functions.
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Primary ResponsibilitiesPartner with ACS teams to build and execute on capital markets activity, advise on strategic projects with nexus to broker-dealer matters, and design and enhance policies and proceduresPrepare and manage negotiation of the legal documentation related to transactions, including but not limited to, NDAs, engagement letters, commitment papers, OMs, note purchase agreements, trade documentation, etc.
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Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking an EVP of Finance & Operations to oversee the self-clearing brokerage operations, related affiliates and serve as a member of our executive team.
$240,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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LPL Financial, member FINRA, SIPC, is the clearing broker-dealer for Equitable Advisors, LLC and they are not affiliated. Our broker/dealer powered by one of the world’s largest broker/dealers LPL.
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Job DetailsResponsibilitiesThe Assistant Head of LARS position is responsible for assisting the Head of LARS with the oversight of management of the Laboratory Animal Research Service (LARS) vivarium at the Lindsley F. Kimball Research Institute.
$100,000 a yearExpandApply NowActive JobUpdated Today - 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 and AML compliance. As the broker-dealer CCO, the successful candidate will maintain and establish standards and implement procedures to ensure that the broker-dealer compliance program remains effective and efficient in identifying, preventing, detecting and remediating regulatory issues.
$300,000 a yearFull-timeExpandApply NowActive JobUpdated 21 days ago - UpvoteDownvoteShare Job
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As a Dealer Account Manager with Westlake Financial, you will be educating and training our current Dealer partners in the assigned area, along with acquiring new source and contacts. Westlake Financial believes in PEOPLE with the PURPOSE and PASSION to assist our more than 43,000 dealer partners throughout North America.
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O Our broker/dealer powered by one of the world’s largest broker/dealers LPL. o Our broker/dealer powered by one of the world’s largest broker/dealers LPL. o More than 190 Elite Advisor Group firms.
$120,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Bloomberg has regulated activities that include regulated trading venues (e.g., UK Multilateral Trading Facility, US Swap Execution Facility), MIFID II benchmark activities, a US Broker-Dealer, and other regulated offerings globally.
$210,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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The ideal candidate will play a pivotal role in building, implementing, and scaling the employee equity trading business on our broker-dealer app while ensuring a seamless workflow across various functions.
$150,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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The preference is for this person to live in/near/around NYC, Buffalo or Newark, NJ.How You’ll Make an ImpactThe Dealer Marketing (Territory Sales) Consultant (DMC) will be responsible for providing marketing solutions to automotive dealer clients within an assigned territory and increasing revenue by meeting or exceeding sales objectives.
$70,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Must have OEM motorcycle sales experience with existing dealer contacts and be ready to hit the ground running. You will focus on producing motorcycle sales through new dealer development, retain and grow sales with existing dealers to achieve sales goals.
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Preparing financials and books and records for the Broker-Dealer in accordance with GAAP and ensuring compliance with regulatory reporting requirements. Expert knowledge of broker-dealer operations and regulatory reporting needs, including Client, SEC, and other agencies as required.
$240,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago
dealer job Company: Jobbot in New York, NY
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