CFO & FINOP for Broker-Dealer — Regulatory & Financial Leader
Jobleads-US
Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking a CFO/FINOP to oversee day-to-day accounting, regulatory reporting and FINOP responsibilities. Reporting to the CEO, you will drive financial controls, tax filings, payroll, reconciliations, and vendor management while ensuring compliance with SEC, FINRA and internal policies.
You will collaborate with senior management to consolidate financial statements and disclosures, supervise accounting teams, and
#J-18808-Ljbffr Jobleads-US- ...Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking a CFO/FINOP to manage the accounting and regulatory filing functions. Reporting to the CEO, this role covers day-to-day accounting, financial/regulatory reporting, payroll, reconciliations, vendor...FinancialRegulatory
- Hold Brothers Capital, LLC, a self-clearing broker-dealer in US equities, headquartered in New York, seeks a Deputy CFO to manage day-to-day accounting under the CFO, ensure timely financial reporting, regulatory compliance and strong internal controls. Key duties include...FinancialRegulatoryRemote job
$97.9k - $146.8k
...Description Job Description Mutual of America Financial Group Job Title: Lead Compliance, Broker / Dealer Location: Boca Raton, FL (hybrid) or New... ...registered personnel on relevant topics Assist with regulatory inquiries and help prepare responses under tight...FinancialRegulatoryWork at office- ...Markets L.L.C. in New York and Washington, DC, seeks an experienced Financial & Operations (FINOP) lead to own all financial responsibility, regulatory reporting, and operational oversight for the broker-dealer. The role focuses on building an in-house FINOP function with...FinancialRegulatory
$98.78k - $121k
...philosophy . About the Role: The Broker-Dealer Operations Associate will be a vital... ...operational tasks that ensure the accuracy and regulatory compliance of Gusto's broker/dealer... ...at Gusto is crucial for expanding our financial offerings. We are responsible for...FinancialRegulatoryDaily paidFull timeWork at officeLocal area2 days per week3 days per week- Alpaca seeks a FinOp to oversee financial and operational compliance to the SEC Net Capital Rule and Customer Protection Rule. You will supervise... ...FOCUS filings, monitor net capital, and coordinate with the CFO in a 100% distributed finance team. Ideal candidate holds a...FinancialRemote job
$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... ...and ensuring compliance with regulatory requirements, while also...FinancialRegulatory$220k - $250k
...Betterment is a leading, technology-driven financial services company that offers... ...so they can live better. As Product Leader for our Broker-Dealer division (Custody, Trading, and Market... ...innovative functionality within regulatory and technical constraints. ~ A self...FinancialRegulatoryTemporary workSummer holidayWork at officeLocal areaFlexible hours- ...Assistant General Counsel, Capital Markets, Broker-Dealer & FinTech About the Company Leading operator of financial markets for international securities Industry... ..., capital markets transactions, and regulatory compliance. The ideal candidate will have a...FinancialRegulatory
- MCD Global Health is seeking a Chief Financial Officer to scale financial operations and strengthen... ...across a growing organization. The CFO reports to the President & CEO and... ...Team. The CFO will ensure fiduciary and regulatory compliance and lead a seven‑person finance...FinancialRegulatoryRemote job
- ...Mapletree Investments Pte Ltd is seeking a Chief Financial Officer based in New York City, United... ...optimize assets and capital structure. The CFO will drive strategic financial leadership, oversee US accounting and regulatory compliance, and manage liquidity, risk and...FinancialRegulatory
- The Chief Financial Officer at Taurus Search will serve as the Bank’s senior finance executive, responsible... ...with U.S. GAAP. Based in New York, the CFO will maintain regulator relationships (OCC/FRB), oversee regulatory filings, board-level financial communications,...FinancialRegulatory
- Local First Arizona is looking for an experienced CFO to lead financial operations and develop the TBTT ETF focused on green investments. This... ...management experience, particularly in ETF creation and regulatory compliance. Join us to engage at the intersection of technology...FinancialRegulatoryRemote jobLocal area
$180k - $260k
...operates two regulated entities: a broker-dealer and a registered investment... ...to scale with two dedicated leaders instead of one. We're... ...ensure the firm operates within regulatory requirements while moving at... ...annual audits, exams, and financial reporting for your entity....FinancialRegulatoryRemote workFlexible hours$120.8k - $137.9k
...Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer) About the Role We are seeking a highly analytical and... ...with SEC (Securities and Exchange Commission), FINRA (Financial Industry Regulatory Authority), CFTC (Commodity Futures Trading Commission)...FinancialRegulatoryFull timePart timeLocal area- ...Vice President, Associate General Counsel, Broker-Dealer Regulatory Compliance About the Company Profitable broker & financial advisory firm Industry Financial Services... .... The successful candidate will be a key leader in the corporate legal advice team,...FinancialRegulatory
$290k - $335k
...MRX) is a diversified global financial services platform providing... ...must navigate a wide range of regulatory requirements to maintain... .... Role Summary The Head of Broker Dealer Compliance is an expert in Broker... ...Partner with business leaders and desk heads to deliver proactive...FinancialRegulatoryWorldwide$99.4k - $142k
...Our mission is to unlock the next era of financial, creative, and personal freedom by... ...Senior Associate, Trading Operations (Broker Dealer) This role is required to be in person... ...Product and Engineering teams to support regulatory reporting, trade surveillance, and system...FinancialRegulatoryWork at officeRemote workFlexible hours- ...growing New York Self Clearing Broker-Dealer seeks an experienced Chief... ...directly with the CEO, COO, CFO and CCO as part of the... ...or at a broker-dealer in the financial services industry. ~ FINRA... ...to a changing business and regulatory environment. ~ Must be able...FinancialRegulatoryRemote work
$150k - $185k
Purpose of Role Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities... ...activities, as well as knowledge of various regulatory reporting requirements. Such guidance... ..., and analytics. In the ever-evolving financial landscape, Compliance has become...FinancialRegulatoryImmediate start- ...A leading financial consulting firm in New York is seeking an experienced Accounting Manager. This role involves managing regulatory reporting, financial statements compliance, and preparing detailed analyses for financial performance. The ideal candidate will have a...FinancialRegulatory
$130k - $177k
...Recruiter @ Aegistech | Full Cycle Recruitment Our Financial Services client is seeking a Business Analyst to join our Broker Dealer Back Office team, with a focus on... ...Proficiency in SQL for data analysis. Knowledge of regulatory frameworks: Dodd-Frank, EMIR, Basel III, UMR...FinancialRegulatoryContract workH1bLocal areaRelocation3 days per week- ...Finance department of U.S. broker-dealer. This role is vital for enhancing... ..., preparation of financial reports and annual audited financial... ...as well as ancillary regulatory reporting that are required... ...projects as required by the CFO. Maintain a strong focus on...FinancialRegulatoryPermanent employment
$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President 4 days ago Be among the first 2... ...170,000 - $190,000 base + bonus Overview A leading global financial institution is seeking an experienced Regulatory Reporting...FinancialRegulatoryFull timeWork at officeRemote work- Marex in New York seeks a Head of Broker Dealer Compliance to lead a team responsible for the Americas Broker... ...Options with emphasis on real-time guidance and regulatory reporting. You will partner with business leaders to ensure adherence to SEC, FINRA, OCC and other...Regulatory
- BBVA, a global financial services company, is seeking a Broker-Dealer Accounting Senior Analyst in New York. The role involves maintaining accounting policies... ...will handle journal entries, annual audits, and regulatory reporting, contributing to accurate financials for...FinancialRegulatory
- BBVA, a U.S. broker-dealer subsidiary, seeks a detail-oriented accounting professional in New... ...end closes, and support for audits and regulatory reporting, including FINRA and SEC... ...strong background in accounting within financial institutions and proficiency with Microsoft...FinancialRegulatoryWork at office
- A global financial institution is seeking an Audit Manager to lead internal audits across Broker Dealer, Swap Dealer, and IT Operations. Reporting... ...operational, technology, regulatory, and control risks across... ...development. Partner with business leaders to understand evolving...FinancialRegulatory
$100k - $110k
...detail oriented individual to work at a growing U.S. broker-dealer subsidiary of a global financial services group based out of Spain. Job Description Accounting... .../system roll-outs and validate the testing results Regulatory Responsibilities Assist with preparation of FINRA...FinancialRegulatoryExtra incomeWork at office$115k - $125k
...seeking a Senior Fund Accountant in New York City to oversee financial reporting, fund accounting, and compliance functions for a leading... ..., coordinating with various teams, and ensuring accurate regulatory reporting. Ideal candidates will have a Bachelor's degree and...FinancialRegulatory
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