- Unknown (New York, NY)
- Associate Vice President, Treasury and Broker Dealer About the Company Prominent financial services company Industry Financial Services Type Privately Held About the ... seeking an Associate Vice President for Treasury and Broker Dealer to take on a pivotal role in overseeing...flow forecasting, as well as the operations of the broker- dealer , ensuring strict compliance with regulatory standards and internal… more
- Unknown (Houston, TX)
- …The Company is seeking a Vice President of Sales to spearhead its dealer -channel strategy and commercial expansion. The successful candidate will be responsible for ... revenue within a specified timeframe. The role also involves establishing tiered dealer programs with differentiated benefits, building and leading a national sales… more
- Unknown (Jersey City, NJ)
- …a global compliance team that covers structural banking reform, including CFTC Swap Dealer , SEC Security-Based Swap Dealer , French Banking Law, and the Volcker ... include organizing and supervising the compliance program for swap dealer rules, monitoring and advising on the implementation of...matter expert for all issues related to the swap dealer . Applicants must have a minimum of 5-10 years… more
- Unknown (Charlotte, NC)
- Group Chief Financial Officer (CFO) About the Company Leading technology-driven broker- dealer specializing in providing liquidity in fixed income securities Industry ... ("CFO") of its parent company, which wholly owns the US broker- dealer and the FCA registered broker- dealer . The US broker- dealer also has two foreign branch… more
- Unknown (Houston, TX)
- …operational performance, and regulatory compliance of its self-clearing proprietary broker- dealer and affiliates. The successful candidate will be a hands-on ... leader with deep expertise in broker- dealer operations, GAAP accounting, and SEC/FINRA reporting, and will...preferred, and a minimum of 10 years' experience in broker- dealer finance and operations, particularly in a FINOP or… more
- Unknown (Charlotte, NC)
- …sales, achieving quarterly revenue targets, and shaping sales strategies to enhance dealer adoption. The VP will also be tasked with establishing strong ... relationships within the franchise dealer market, developing compensation models, and representing the company...7-10+ years of progressive sales experience in the franchise dealer market, with a deep understanding of dealership operations… more
- Unknown (Princeton, NJ)
- …Expert for the development and ongoing supervision of an introducing broker- dealer . This pivotal role involves leading the design, implementation, and enhancement ... company should possess deep, hands-on expertise in FINRA and SEC regulations, broker- dealer compliance, and risk management, ideally gained from experience in G-SIFI… more
- Unknown (New York, NY)
- Chief Compliance Officer (CCO) About the Company Respected broker- dealer Industry Financial Services Type Privately Held About the Role The Company is seeking a ... The successful candidate will be responsible for overseeing the broker- dealer compliance program, including the implementation of supervisory procedures, policies,… more
- Vaco by Highspring (Phoenix, AZ)
- …reviewing consolidated financial statements, coordinating financial reporting for broker- dealer subsidiaries, and collaborating with auditors to ensure compliance. ... across multiple newly acquired entities Coordinate financial reporting for broker- dealer subsidiaries, including footnotes and schedules. Develop monthly cash flow… more
- Unknown (San Francisco, CA)
- …take the lead in all regulatory and compliance functions for its registered broker- dealer and RIA. The successful candidate will be responsible for developing and ... position at the company should have a minimum of 15 years' of broker- dealer compliance experience, with a deep understanding of FINRA, SEC, and state-level… more
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