- Robert Half Finance & Accounting (New York, NY)
- …is recruiting for a US Head of Finance & Accounting role for a global Broker Dealer /Swap Dealer firm located in midtown Manhattan. Our client requires ... experience within Prime Brokerage, Capital Markets or a Swap Dealer firm. The role reports directly into the Group...experience within Prime Brokerage, Capital Markets or a Swap Dealer firm + Must hold active CPA and Series… more
- Citigroup (New York, NY)
- …and across the globe Knowledge & Experience: + 5 years' experience at a bank/ broker dealer + Working knowledge of brokerage products, structured products, and ... skills, ability to communicate to all levels of management + Familiarity with bank/ broker dealer trading platforms + Strong organizational and project management… more
- City National Bank (New York, NY)
- …with the transfer by acting as the intermediary between the receiving and delivering broker dealer , and see that the account is properly closed and archived ... voluntary offers. *The Qualifications* * 3 to 5 years of experience in a broker dealer or investment industry * Minimum 3 years of experience in a financial… more
- Citigroup (New York, NY)
- …supervisory issues escalated + Review and approval of designated bank-channel and broker - dealer investments + Manage surveillance alerts within stated policy ... 24 and 31. Series 9/10 also preferred + Knowledge of Bank and Broker - Dealer businesses, regulatory requirements and related policy + Knowledge of Investment… more
- Robert Half Accountemps (New York, NY)
- …capital usage. + Develop and manage monthly payout calculations and accruals for broker - dealer activities. + Monitor expense accruals and allocate costs to ... + 3-5 years of experience in accounting or finance within a broker - dealer or banking trading operation. + Proficiency in Excel, including advanced formulas;… more
- Bank of America (New York, NY)
- …Qualifications** + Recent experience in a similar role in a top tier bank / broker - dealer or product development role in a large broker / dealer ... + Knowledge of key vendor / platforms across the industry eg, DTCC, Euroclear, LSEG, BNY Mellon + Understanding of relevant industry regulatory frameworks eg, Dodd-Frank, EMIR. + Existing network / contacts across the industry **Skills:** + Client & Vendor… more
- Deloitte (New York, NY)
- …a financial services organization (preferably a bank, capital markets organization or broker - dealer ), regulatory agency, or consulting firm with a clear record ... within the risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk assessment, reporting,… more
- Raymond James Financial, Inc. (New York, NY)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more
- TD Bank (New York, NY)
- …abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business operations experience in areas involving regulatory compliance.** + **Detail… more
- US Bank (New York, NY)
- …counsel supporting capital markets products + Experience with securities laws and broker - dealer regulatory matters + Experience with corporate finance, in ... regulatory authorities, especially the SEC and FINRA + Experience with broker - dealer corporate governance + Familiarity and experience with relevant trade groups… more