Director, Broker-Dealer FINOP & Regulatory Reporting
$200k - $225kJobleads-US
Tensec is looking for a Director - Broker-Dealer FINOP to oversee regulatory financial reporting for their Broker-Dealers. The role focuses on compliance and support for the Company's growth strategy. Ideal candidates should have over 8 years' experience in finance, specifically within clearing broker-dealers, and possess a Series 27 license. A competitive salary of $200,000 - $225,000 USD is offered based on qualifications. #J-18808-Ljbffr Jobleads-US
- ...FINOP / Broker-Dealer Regulatory Reporting Consultant Our client is seeking a FINOP / Broker-Dealer Regulatory Reporting Consultant with strong experience supporting self-clearing broker-dealers, including ownership of FOCUS reporting, 15c3-3 regulatory requirements...RegulatoryPermanent employment
$200k - $235k
...ensuring institutional-grade execution and regulatory compliance in everything we do. Join us... ...investing! About the Role: As Managing Director, Broker Dealer FINOP, you will be responsible for the regulatory financial reporting and compliance for the company's broker...RegulatoryFull timeWork at officeWorldwide- ...Taurus Search, a leading Financial Institution, is seeking an AVP for their Broker Dealer Regulatory Reporting team in New York City. This role offers a strong work-life balance and hybrid work. Key responsibilities include preparing the daily net capital and customer...Regulatory
- ...VP Candidate For Broker-Dealer Regulatory Reporting Team We are seeking a highly experienced and detail-oriented VP candidate to support our Broker-Dealer Regulatory Reporting team. This role is responsible for the preparation, review, and oversight of all SEC financial...RegulatoryWork at office
- ...TD Bank in New York is looking for a highly experienced VP candidate for their Broker-Dealer Regulatory Reporting team. This role involves overseeing SEC financial rule reporting, managing net capital computations, and ensuring compliance with regulatory requirements....Regulatory
- ...Russell Tobin is seeking an experienced Regulatory Reporting Associate to join our financial services team in Jersey City, NJ. This role... ...ideal candidate will have over 5 years of experience in the Broker-Dealer industry and strong knowledge of accounting standards and...Regulatory
- Larson Maddox is seeking a Regulatory Reporting Specialist in New York, NY. This role involves daily customer and PAB reserve calculations, preparation and analysis of FOCUS reports, and collaborating with front-office, operations, and control teams on regulatory matters...Regulatory
$150k - $180k
...this role. Job Description: We are seeking a highly experienced and detail-oriented VP candidate to support our Broker-Dealer Regulatory Reporting team. This role is responsible for the preparation, review, and oversight of all SEC financial responsibility rule...RegulatoryWork at officeLocal areaWork from homeFlexible hours$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President 4 days ago Be among the first 25 applicants... ..., NJ $294,000.00-$352,666.00 2 weeks ago Executive Director/VP Quality and Regulatory Vice President, Quality...RegulatoryFull timeWork at officeRemote work- ...Street is seeking an experienced Financial Reporting Manager. The ideal candidate will be a... ...experience, particularly in the Broker-Dealer sector. Responsibilities include overseeing... ...financial reporting, ensuring compliance with regulatory requirements, and managing the general...Regulatory
$110k - $165k
...hands‑on Senior Accountant with broker‑dealer experience to own complex... ...ensure accurate financial reporting in a regulated environment.... ...environment Broker‑Dealer & Regulatory Accounting Support preparation... ...toward certification Series 27 (FINOP) or prior experience...RegulatoryTemporary workWork at officeWorldwideMonday to Friday$135k - $160k
...oversees and operates Betterment’s broker‑dealer entity that safeguards over $65B in... ...operation of internal controls, and regulatory and financial reporting to maintain compliance with... ...broker‑dealer compliance Work with the FINOP to prepare and file weekly, monthly...RegulatoryTemporary workWork at officeLocal areaMonday to ThursdayFlexible hours- ...Immediate Hire" fast growing Self-Clearing Broker-Dealer now has two locations the first located... ...for a self-motivated, team-oriented FINOP/Controller. This coveted position has room... ...of customer assets. · Create management reports to monitor capital and liquidity on a daily...Immediate start
- ...York, NY, to ensure adherence to FINRA and SEC regulations governing broker-dealer activities. The role involves designing and maintaining robust compliance programs, overseeing regulatory reporting, and managing Written Supervisory Procedures. The ideal candidate will...Regulatory
- ...services company in New York is seeking a Senior Manager of Broker-Dealer Financial Operations and Controls. This pivotal role... ...strong expertise in broker-dealer operations, financial reporting, and regulatory compliance with at least 5 years of relevant experience....RegulatoryWork at office
$200k
...through our AAFA network. Our client is a broker dealer located in Northern New Jersey and they... ...is their headquarters and the role reports into the Controller. This is a top tier... ...and clearing broker Management of all regulatory reporting and financial statements for...Regulatory- ...the general ledger Help ensure accurate and timely financial reporting across entities Assist in preparing documentation and responding... ...(e.g., NetSuite, Oracle, SAP, or similar) Familiarity with regulatory reporting concepts (e.g., FOCUS, net capital, reserve...RegulatoryHourly payContract workLocal areaFlexible hoursShift work
- ...Self-Clearing Broker Dealer seeks experienced Chief Compliance Officer... ..., detecting and remediating regulatory issues at a tech-enabled broker... ...and changes in regulations, reporting their impact on the... ...senior compliance role (CCO, Director or similar) within a Self-Clearing...Regulatory
$143k - $180k
...MUFG US and Canada Broker Dealer Treasury - VP page is loaded## MUFG US and Canada Broker Dealer... ...of Global Markets Division Americas. Reporting directly to the US and Canada broker... ...dealer practices are aligned with peers and regulatory expectations.* Analyze new business...RegulatoryWork at officeLocal areaRemote work- ...A leading broker-dealer firm is seeking a Compliance Analyst to join their small team. The ideal candidate will have 1-3 years of... ...surveillance of trading activity, updating policies, and handling regulatory reporting. This position offers an opportunity to stay engaged with...Regulatory
- ...A leading broker-dealer firm is looking to hire a Compliance Analyst. An ideal candidate will have 1-3 years of experience in a broker... ...activity. Update firm policies and WSPs. Assist with regulatory reporting and exams Stay up to date on regulatory developments. You...Regulatory
$140.41k - $172k
...About the Role The Broker‑Dealer Operations Manager will be a vital hands‑on leader, responsible... ...ensuring the reliability, accuracy and regulatory compliance of Gusto’s broker/dealer... ...transaction reconciliation and remediation, and reporting required for our broker‑dealer entity....RegulatoryDaily paidWork at officeLocal area2 days per week3 days per week$82k - $140k
...SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President and... ...responsible for overseeing the management of the broker dealer's compliance risk. It is represented by... ...planning within the area of coverage. Reports to a senior member of Private Side...RegulatoryWork at officeLocal areaWork from home- ...New York Self Clearing Broker-Dealer is seeking a Chief Financial Officer... ..., budgeting, and ensuring regulatory compliance. The CFO will... ...requirements. Accounting and Reporting: Manage financial reporting,... ...interact with the board of directors. Qualifications: Proven experience...Regulatory
$200k - $225k
...Head Of Broker Dealer Compliance DriveWealth is on a mission to make investing easier. We... ...ensuring institutional-grade execution and regulatory compliance in everything we do. Join us... ...and clearing services environment. Reporting to the Chief Compliance Officer, you will...RegulatoryFull timeWork at officeWorldwide$150k - $185k
Purpose of Role Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is meant to be a subject... ...trading activities, as well as knowledge of various regulatory reporting requirements. Such guidance is tailored to resolving issues...RegulatoryImmediate start- ...years of experience in U.S. securities back-office operations and an understanding of Japanese securities management. The role includes providing feedback to product development teams and ensuring compliance with regulatory reporting. #J-18808-Ljbffr Framework VenturesRegulatoryRemote jobWork at office
$200k - $250k
...Director – FinOps Location: New York, NY Compensation: $200,000 – $250,000 Base + Bonus Overview A rapidly growing broker-dealer and institutional trading platform is seeking a senior Financial... ...leader to oversee core regulatory reporting, capital management, and operational...Regulatory- ...CPA with at least 6 years of progressive accounting experience, particularly within the Broker-Dealer sector. Key responsibilities include overseeing financial reporting, regulatory compliance, and internal control management. Strong leadership and technical expertise are...Regulatory
$114.73k - $155.22k
...The Broker Dealer and Investment Advisor (also referred to as Thrivent Investment Management... ...balancing business growth objectives with regulatory, credit, and reputational risk. The... ...and obligations Provide executive-level reporting on loan balances, risk, and ROI Deliver...RegulatoryHourly payFull timeLocal areaFlexible hours
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