- Robert Half Finance & Accounting (New York, NY)
- Description Robert Half Financial Services is recruiting for a US Head of Finance & Accounting role for a global Broker Dealer /Swap Dealer firm ... of Accounting and Finance experience within Prime Brokerage, Capital Markets or a Swap Dealer firm. The role reports directly into the Group CFO and oversees … more
- TD Bank (New York, NY)
- …you've got years of banking experience or are just starting your career in financial services , we can help you realize your potential. Through regular leadership ... abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and… more
- Guardian Life (New York, NY)
- …on department projects and ongoing recruitment strategy **You have** + 3-5 years of broker - dealer operations or service experience + Ability to create strong ... office personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for &...realize their dreams through a range of insurance and financial products and services . Our Purpose, to… 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 ... are guided by a common purpose to help make financial lives better through the power of every connection....can help build relationships with our organization's largest third-party service providers and engage with the most influential industry… more
- Citigroup (Getzville, NY)
- …analytical skills. + 4+ years of related experience in the banking / broker - dealer industry. + Material experience with operational risk disciplines; processes, ... risks and controls and familiarity with financial product and services , as well as...Familiarity with SEC Rule15c3-1 & 15c3-3, brokerage accounting, and broker - dealer regulatory filing is a plus. +… 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 ... and businesses we serve to make better and smarter financial decisions and enabling the communities we support to...authorities, especially the SEC and FINRA + Experience with broker - dealer corporate governance + Familiarity and experience… 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
- Raymond James Financial, Inc. (New York, NY)
- …in Mathematics, with a minimum of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management ... and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks… more
- BMO Financial Group (New York, NY)
- …Fixed Income Compliance team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work ... of business operations and stakeholder needs. + Consult on new products, services and automated systems to assist with incorporating compliance requirements into… more
- Capital One (New York, NY)
- …Strong risk management mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC / ... platforms and to enable new Capital Markets capabilities that expand our portfolio of services for clients and in doing so drive continued revenue growth in an… more