Broker-Dealer Finance Specialist: Path to FINOP/Controller
ACG Texas
New York Self Clearing Broker Dealer is seeking an Accounting Professional with Finance experience to work in a temp to perm role. Our client is searching for a self‑motivated, team‑oriented Accounting Specialist. This coveted position has room for significant growth as the right individual will be given the opportunity to move into a FINOP or Controller role in the foreseeable future. If Candidate has Broker‑Dealer Self‑Clearing experience and an active Series 27 it is a huge plus. Responsibilities Calculate the daily and weekly 15c3-3 Reserve computation. Calculate the daily and weekly 15c3-1 Net Capital projections. Responsible for 15c3-3 Custody of customer assets. Create management reports to monitor capital and liquidity on a daily basis. Assist and Review and file monthly FOCUS Report. Responsible for daily bank reconciliations. Work with executive team as needed. Perfect candidate has experience working at a Self‑Clearing Broker‑Dealer assisting the firm FINOP or Controller and has an active Series 27 and have significant experience in calculating 15c3-1 Net Capital computations and have significant experience in15c3-3 Custody of customer assets. Additional Upside: This temp to permanent role has significant upside in that our client will promote the right individual into a permanent employee with upside of potentially becoming the firm FINOP or Controller. The chosen candidate for this position will be given an opportunity to be hired permanently and promoted within the first twelve months if that individual proves worthy of consideration based on work ethic, leadership qualities and production. Pluses for Qualifying Candidates Previous experience working at a Self-Clearing Broker-Dealer An active Series 27 Significant experience in calculating 15c3-1 Net Capital requirements. Significant experience in 15c-3-3 Custody of customer assets. Hands on Focus Reporting experience Ability to multi-task and meet all Financial Reporting Deadlines Strong Problem-Solving Skills Exceptional Leadership Qualities Exceptional Communication Skills #J-18808-Ljbffr ACG Texas
$200k - $225k
...evolution. About the Role As Director - Broker-Dealer FINOP, you will be responsible for the... ...Accounting Officer and work closely with Controllers, Legal, Compliance, Treasury and FPA teams. You will focus on the Finance team’s reporting infrastructure and make...SuggestedWork at officeWork from homeWork visaFlexible hours$80k
...responsibilities including managing risk insurance accounting, inter-branch revenue processes, and providing support to the Global Financing Division. Successful participants may receive permanent roles. A Bachelor’s degree in Accounting or Finance is essential, with a...SuggestedPermanent employmentFull time$110k - $165k
...have an equal opportunity to control their own financial future. Our... ...‑on Senior Accountant with broker‑dealer experience to own complex areas... ...Partner with compliance and finance on regulatory requirements... ...toward certification Series 27 (FINOP) or prior experience...SuggestedTemporary workWork at officeWorldwideMonday to Friday$151.9k - $173.4k
...Broker Dealer Advisory Manager Job Description Compliance Risk Manager will support Capital One’s broker dealers compliance program. Compliance Risk Managers are highly motivated Risk Management professionals with excellent communication skills, strong judgment and decision...SuggestedFull timePart timeWork at officeLocal areaFlexible hours$120.8k - $137.9k
...market conduct surveillance program across both its institutional Broker‑Dealer (BD) and Swap Dealer (SD) businesses. This individual will... ...compliance issues. Basic Qualifications Bachelor’s Degree in Finance, Economics, Business, Mathematics, Statistics, Science, Engineering...SuggestedFull timeLocal area$250k
...Functions (e.g., Technology, Finance, COO, HR, etc.) spanning all... ...within its set risk appetite Control objectives and standards: Ensure... ...Head of ORM‑ Markets & Broker‑Dealers is responsible for leading ORM... ...understood and there is a robust Path to Green to avert/remediate...Full time- ...preparing documentation and responding to audit requests (PBC support) Qualifications Bachelor’s degree or higher in accounting, finance, or other related fields preferred Proficiency in Excel and experience with ERP systems (e.g., NetSuite, Oracle, SAP, or similar)...Hourly payContract workLocal areaFlexible hoursShift work
- 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 reserve...
$110k - $140k
...Analyst, Sales & Trading (US Equities/Options Broker-Dealer) New York, NY Galaxy is a global leader in digital assets and data center... ...infrastructure, delivering solutions that accelerate progress in finance and artificial intelligence. We believe that blockchain and...Work at officeLocal areaFlexible hours- US Tiger Securities Inc. in New York, NY is looking for a Legal Associate to handle legal documents and agreements related to broker-dealer activities. The ideal candidate will have a JD or foreign equivalent, 2 years of legal experience, and fluency in Mandarin. This role...Remote work
- ...Maddox is seeking a Regulatory Reporting Specialist in New York, NY. This role involves... ...collaborating with front-office, operations, and control teams on regulatory matters. Candidates... ...skills, and a BA/BS in Accounting or Finance. Series 27 is required or a willingness...
$159.4k - $181.9k
A financial services company is seeking a highly skilled Trade Surveillance Manager to enhance its surveillance program across Broker-Dealer and Swap Dealer activities. This role involves leading daily operations and ensuring compliance with regulatory requirements, while...- ...be best-in-class. As a Lead Credit Officer on the Banks and Broker Dealers team, you will leverage your analytical abilities and industry... ...credit products, markets products (derivatives, trading, and financing), intraday liquidity facilities, and other credit exposures Demonstrate...
$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory... ...with stakeholders across finance, operations, technology, and... ...analysis, transaction and control testing, and conformance... ...notified about new Regulatory Specialist jobs in New York City...Full timeWork at officeRemote work- Self-clearing broker-dealer seeks Accounts Payable specialist to bring their Accounts Payable Process in-house. The... ...accordance with SEC, FINRA, and internal control requirements. This position... ...retention rules Partner with Finance, Compliance, and Operations to ensure...Weekly pay
- Private Banking Ops Analyst (LoanIQ, UI Path - Max $25/hr W2) Contract Finance The analyst will also support the following activities: Loan processing and servicing Reviewing control reports Participating in projects and testing initiatives Maintaining departmental...Contract workWork at officeLocal area
$59.11k - $88.66k
...Broker Dealer Operations Specialist The Broker Dealer Operations Specialist plays a central role in delivering world-class customer and transaction servicing for alternative investment products. The role supports end-to-end operations from onboarding through transactions...Work at officeHome office$135k - $190k
...with FSS sales team members to execute strategy for Bank and Broker Dealer client sales across the Americas addressing client needs in support... ...and Broker Dealer Segment and product capabilities across Financing and Securities Services (FSS). We appreciate self-driven...Full timeContract workTemporary workWork at officeWork from homeFlexible hours- ...regulated financial services environment. Responsibilities include assisting with monthly close activities, account reconciliations, and supporting audit requests. A Bachelor’s degree in accounting or finance and proficiency in Excel are preferred. #J-18808-Ljbffr TALENT SHIFTFull timeContract workShift work
$110k - $165k
...reports, journal entries, and account reconciliations. Ideal candidates will have 3-7+ years of relevant experience, particularly in broker-dealer or financial services, and familiarity with SEC/FINRA reporting. Competitive salary range of $110,000 - $165,000 annually is...Work at office- ...highly motivated and analytical staff accountant within the Finance department of U.S. broker-dealer. This role is vital for enhancing our broker-dealer... ...Maintain reporting procedures to comply with internal control requirements as well as permanent supervision controls....Permanent employment
- 6AM City, LLC is seeking a Senior Compliance Officer in New York to provide advisory and monitoring for Investment Banking and Equity Trading. Candidates should have strong analytical skills and knowledge of SRO and SEC regulations, along with a Bachelor’s Degree. This ...
$85k - $100k
A leading investment management firm is seeking an Advisor Consultant to foster new and existing relationships with Financial Advisors in Michigan. The candidate will lead territory development, implement business plans, and maintain expertise in market trends. A minimum...- Gusto is seeking a Founding Operations Leader in New York to architect in-house broker-dealer operations. This pivotal role requires establishing operational objectives, ensuring compliance with FINRA/SEC standards, and building a high-performing team focused on operational...
$85k - $100k
...and develop the Michigan territory targeting wirehouses and broker dealers by actively developing relationships with advisors to promote... ...sales opportunity pipeline in concert with Client Advisory Specialists and Analysts. Exhibit a strong business acumen and executive...Local areaShift work$150k - $185k
Purpose of Role Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities... ...compliance role. Bachelor’s Degree in Finance, Economics, Business, or other related... ...requirements. A non-bureaucratic, but well controlled environment fosters initiative as well...Immediate start$130k - $177k
...Financial Services client is seeking a Business Analyst to join our Broker Dealer Back Office team, with a focus on Transaction Lifecycle... ...functional collaboration skills. Education : Bachelor’s degree in Finance, Business Administration, Computer Science, or related field....Contract workH1bLocal areaRelocation3 days per week- ...changes regarding covered business units; Managing internal controls, supervisory systems, and tailoring future processes as needed... ...skills, understanding and demonstrated product knowledge of broker-dealer, equity sales and trading, investment banking and research coverage...Work at office
$265k - $305k
NACBA is seeking a Senior Vice President for Legal and Compliance to oversee PIMCO Investments LLC's broker-dealer operations. In this role, you will manage regulatory compliance and lead initiatives to ensure adherence to FINRA standards. The ideal candidate will have...- ...looking for a highly motivated staff accountant to join their finance department in New York. This pivotal role involves preparing... ...financial reviews, and ensuring compliance with regulations for broker-dealers. The ideal candidate will hold a Bachelor's degree in...
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Broker-Dealer Finance Specialist: Path to FINOP/Controller. Be the first to apply!
- transportation broker New York, NY
- medicare broker sales manager New York, NY
- broker work from home New York, NY
- business broker New York, NY
- work from home freight broker New York, NY
- remote broker New York, NY
- commercial broker New York, NY
- food broker New York, NY
- sales broker New York, NY
- freight broker New York, NY



