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 - $235k
...that everyone should have the ability to control their financial future, and that access... ...the Role: As Managing Director, Broker Dealer FINOP, you will be responsible for the regulatory... ...and FPA teams. You will focus on the Finance team's reporting infrastructure and...SuggestedFull timeWork at officeWorldwide- ...FINOP / Broker-Dealer Regulatory Reporting Consultant Our client is seeking a FINOP / Broker-Dealer Regulatory Reporting Consultant with strong... ...5c3-3 and related broker-dealer regulations Partner with finance, operations, and compliance stakeholders Support...SuggestedPermanent employment
$200k - $225k
Tensec is looking for a Director - Broker-Dealer FINOP to oversee regulatory financial reporting for their Broker-Dealers. The role focuses... ...strategy. Ideal candidates should have over 8 years' experience in finance, specifically within clearing broker-dealers, and possess a...Suggested$150k - $180k
...: 40 Line of Business: Finance Pay Detail: 150,000 - 180... ...VP candidate to support our Broker-Dealer Regulatory Reporting team. This... ...teams to enhance system controls, automate manual processes, and... ...interested in a specific career path or are looking to build...SuggestedWork at officeLocal areaWork from homeFlexible hours$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... ...certification Series 27 (FINOP) or prior experience supporting...SuggestedTemporary workWork at officeWorldwideMonday to Friday$70.6k - $139.8k
...future leaders, which means a partner career path or growth opportunities. At Crowe, there... ...Associates with experience in the Broker Dealer industry vertical. As an Audit Senior... ...credit hours) Masters in Accounting, Finance, or related focus is preferred. CPA strongly...Local areaWorldwideHome office$135k - $160k
...Betterment oversees and operates Betterment’s broker‑dealer entity that safeguards over $65B in... ..., design and operation of internal controls, and regulatory and financial reporting... ...broker‑dealer compliance Work with the FINOP to prepare and file weekly, monthly, and...Temporary workWork at officeLocal areaMonday to ThursdayFlexible hours- ...Theguarantors in New York is seeking a BizOps & Strategic Finance Intern. This highly selective internship offers a clear path to a full-time Analyst position for top performers. Interns will gain hands-on experience in financial modeling, executive-ready materials, and...Full timeInternship
$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$118k - $188k
...The Vice President of Broker Dealer and Middle Office Operations will lead a team responsible for the clearing, settlement, and operational management of municipal, preferred, and taxable fixed income securities for Nuveen's Separately Managed Accounts (SMA) business....Work experience placementWork at office- ...Perform end‑to‑end reconciliations for broker‑dealer accounts using IntelliMatch Research and... ...Ensure compliance with internal controls and industry regulations Qualifications... ...Bachelor’s degree or higher in accounting, finance, or other related fields 3+ years of relevant...Hourly payContract workLocal areaFlexible hoursShift work
$110k - $140k
...Analyst, Sales & Trading (US Equities/Options Broker-Dealer) New York, NY Galaxy is a global leader in digital assets and data center... ..., delivering solutions that accelerate progress in finance and artificial intelligence. We believe that blockchain and digital...Work at officeLocal areaFlexible hours$151.9k - $173.4k
...Broker Dealer Advisory Manager Job Description The 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...Full timePart timeWork at officeLocal areaFlexible hours- 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...
- ...Accountant to their team.In this role your duties will include:Broker dealer accounting for equites, commodities and swaps: Prepare... ...Focus Reporting Skills Bachelor's degree in Accounting or Finance 3+ years of institutional trading, brokerage, clearing industry...Hourly payContract work
- ...Regulatory Reporting Professional Broker dealer client is seeking a Regulatory Reporting professional to join its Finance & Accounting team in New York. This role is responsible... ...I). Maintain documentation and internal controls supporting compliance with Financial...
- ...your career, while helping others along the way, come join the Broadridge team. As the Head of Product Management for our Bank Broker Dealer business, you will create the product strategy, be responsible for product management roadmaps, and drive execution and delivery...Work at officeLocal areaRemote work
- ...and develop the Mid West 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 areaWorldwide
$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...$200k - $225k
...Head Of Broker Dealer Compliance DriveWealth is on a mission to make investing easier. We... ...that everyone should have the ability to control their financial future, and that access... ...broker-dealer activities, margin, securities finance, and derivatives. ~ Required FINRA...Full timeWork at officeWorldwide- ...work . The Role This is a structured entry point into M&A advisory —not a typical lateral move, but an intentional path for individuals with strong finance backgrounds to build a long-term career in investment banking at one of the industry’s most respected platforms....
$150k - $185k
...Purpose of Role: Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on... ...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- ...Self-clearing broker-dealer seeks Accounts Payable specialist to bring their Accounts Payable Process in-house.... ...accordance with SEC, FINRA, and internal control requirements. This position... ...record retention rules Partner with Finance, Compliance, and Operations to...Weekly pay
- Overview One of our NY based Broker Dealers is looking for a P&S supervisor. Role P&S Manager at Broker Dealer Located in New York. Qualifications... ...experience working in the P&S Dept with a Broker-Dealer P&S specialist with Equity/Option product knowledge Buy-in knowledge...Full time
$143k - $180k
MUFG Bank, Ltd is seeking a VP for their US and Canada Broker Dealer Treasury team in New York. Candidates should have over 7 years of Treasury experience, thorough knowledge of broker dealer products, and strong analytical skills. The role involves managing projects to...$110k - $145k
The Vice President of Broker Dealer and Middle Office Operations will lead a team responsible for the clearing, settlement, and operational management of municipal, preferred, and taxable fixed income securities for Nuveen's Separately Managed Accounts (SMA) business. As...Work experience placementWork at office$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$200k - $225k
Tensec is seeking a proactive Treasury Specialist in New York, NY to join its dynamic financial environment. The role demands over 5 years of experience in Treasury or Liquidity Risk, and includes developing scalable liquidity models, tracking capital requirements, and...- ...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...
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