Broker-Dealer Accounting & Compliance Lead
Green Key Resources
Green Key Resources is seeking an experienced Accounting Manager to support broker-dealer clients. The role serves as the primary financial and regulatory resource, overseeing accounting operations and ensuring compliance with SEC and FINRA requirements. You will lead client engagements and manage accounting staff, review ledgers, prepare financial statements and FOCUS reports, and stay abreast of regulatory changes to drive process improvements. #J-18808-Ljbffr Green Key Resources
$151.9k - $173.4k
...Broker Dealer Advisory Manager 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 decision-making...SuggestedFull timePart timeWork at officeLocal areaFlexible hours$290k - $335k
...investment solutions. It has a leading franchise in many major... ...evolving financial landscape, Compliance has become increasingly... ...Role Summary The Head of Broker Dealer Compliance is an expert in... ...professionalism, resilience, and accountability, with the ability to manage...SuggestedFull timeWorldwide$150k - $185k
...to exchanges and technology-powered services. For more information visit ( Purpose of Role: Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is meant to be a subject matter expert in U.S. Broker-Dealer regulation providing...SuggestedFull timeImmediate start$120.8k - $137.9k
...surveillance program across both its institutional Broker‑Dealer (BD) and Swap Dealer (SD) businesses.... ...day‑to‑day surveillance monitoring, lead deep‑dive investigations into complex trading activity, and ensure ongoing compliance with SEC (Securities and Exchange...SuggestedFull timeLocal area$145k - $209k
...with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 150,000 colleagues,... ...various financial products with a deep understanding and focus on Broker-Dealer activities. Major Responsibilities: Lead Independent...SuggestedFull timeWork at officeLocal areaRemote work- Join the NA Broker Dealers and Market Structure Payments Sales team!As a Payments Sales Manager... ...will develop and execute disciplined account plans, build and advance a strong pipeline... ...; Collaborate with client service, compliance, operations, technology, risk, credit,...Overseas
$140k - $150k
...institutional-grade execution and regulatory compliance in everything we do. Join us and help... ...The Team As the executing and clearing broker-dealer, DriveWealth LLC self-clears trades,... ...demands—and we’re looking for a Senior Accountant to be a key contributor to that build-...Full timeWork at officeRemote workWorldwideFlexible hours3 days per week- ...Job Description:- Our client is seeking an experienced SD Compliance Capital Markets SME to support capital markets compliance initiatives across multiple business units and functions. This role involves assessing processes and controls against regulatory requirements...
$63.7k - $133.4k
...our industry. Job Description: The Marketing Events Account Lead is responsible for the operational planning, project management... ...Ensure events are delivered on time, within budget, and in compliance with firm policies and established processes. Identify,...Work at officeLocal areaRemote workWorldwideFlexible hours$132k - $167k
...ever- evolving cryptocurrency landscape. Job Summary: The Compliance Officer for the Swap Dealer & Security-Based Swap Dealer is responsible for ensuring... ...and investigations. Investigation and Resolution : Lead investigations into compliance violations or breaches within...Local area- M+C Saatchi Sport & Entertainment NA is seeking an Account Director in New York to drive and execute communications strategies for high-profile clients. You will lead a team, mentor junior staff, manage client relationships, and ensure campaigns are delivered to the highest...
- Webull Financial in New York, NY seeks a seasoned Controller to lead broker-dealer accounting and the close process across multiple entities. The role drives monthly, quarterly, and annual reporting in compliance with U.S. GAAP, guiding internal controls and working with...Work at office
$146.4k - $180k
...to manage and grow our Major Accounts segment by aligning internal... ...service to Chubb key clients and brokers in the Region. As a main... ...array of product capability leads to an exciting and fulfilling... ...equal employment opportunity and compliance with all laws and regulations...Local areaHome office- In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US. Applicants must be... ...engagement with the communities we serve through an industry-leading volunteerism policy, a generous matching gift program, and a comprehensive...Work experience placement
- ...safety inspections of worksites and facilities; candidate should be able to identify workplace hazards and submit recommendations for compliance; candidate is also expected to write safety programs and assist in implementation; hold safety classes with client employees when...
- ...responsibilities and also work with senior segment to support strategic opportunities. Job Responsibilities:Identifying, prospecting, leading and winning new business with institutional clients in the Insurance client segment across the US and Canada.Manage relationships...Work at office
$240k - $260k
...products.Oversee market data inputs to valuation models, ensuring compliance with the firm’s valuation policy.Perform model validation for... ...with an employer match and moreAbout Point72Point72 is a leading global alternative investment firm led by Steven A. Cohen. Building...Work experience placement- ...AnnuallyIndustry Venture Capital and Private EquitySelling Points Lead impactful fund accounting operations for private equity portfolios. Collaborate... ..., and support fund business activities.Contribute to compliance with fund governing documents and investment management...
- ...high-growth private equity firm. Enhance your expertise in fund accounting and operations. Gain exposure to complex investment strategies... ...partners in a lean, high-performing environment.Ensure compliance with regulatory requirements and contribute to fund-level reporting...
$150k - $175k
Senior Healthcare Broker- Risk Management 1140 Avenue of the Americas 8th Floor, New York... .... Work closely with the Casualty account team members and the Global Client Executive... ...Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at . How do...Hourly payContract workFor contractorsFor subcontractorWork at officeLocal area3 days per week- ...EquitySelling Points Advance your career as a Fund Accountant in a dynamic hybrid role. Collaborate... ...to ensure financial precision and compliance. Enhance your expertise in fund... ...a pivotal role in fund accounting at a leading financial services firm, ensuring precision...Remote work
$90k - $115k
...Marine Cargo Broker ~202605736 ~New York, United States ~Full time View... ...insurance placements, renewals, documentation, compliance activities, and system administration.... ...The Role Key Responsibilities: Account Servicing & Placement Support Support...Full timeTemporary workWork at officeLocal areaRemote workFlexible hours$100k - $125k
...Marine Hull Liability Broker ~202605539 ~New York, United States ~United States... ...and insurance markets, assistance with compliance, systems data entry and other support tasks... ...to provide day-to-day servicing of accounts, including: Issuance of policies and...Full timeTemporary workWork at officeLocal areaRemote workVisa sponsorshipWork visaFlexible hours$80k - $120k
...Fund Accountant/Operations Investment firm in midtown Manhattan Job Description Manage daily fund accounting operations, ensuring accuracy and compliance with relevant regulations. Prepare and review financial statements, NAV calculations, and investor reports...Permanent employmentContract workLocal area- ...supporting insurance renewals, underwriting data collection, and broker/carrier negotiationsClaims management and advocacy, including... ...protecting the organization from complex and evolving risks.You will lead the management of insurance claims, directly influence financial...Contract workApprenticeship
- CBRE is seeking an Account Manager in the United States to lead a single high-value client account within GWS Local. You will manage delivery of hard and... ...the account team, coordinate with vendors, maintain compliance, and drive client satisfaction through strong...Local area
- Wilson Elser is seeking an Escrow Accounting Manager in New York City (Midtown). You will lead a team handling IOLTA and client escrow accounting, ensuring compliance with fiduciary rules and accurate financial records for litigation, settlements, and corporate matters...
$77k - $214k
...Description & SummaryThe OpportunityAs an Insurance Tax Senior Associate, you will provide advice and guidance to clients on tax planning, compliance, and strategy, helping businesses navigate complex tax regulations and optimize their tax positions. Within our Tax practice, you...Full timeH1b$185.2k - $247.8k
...secured our position as the most-installed solution in the world's leading marketplaces. This ecosystem is our unfair advantage in the... ...execution, managing three primary growth engines with direct accountability for commercial targets.First, you will oversee our...Worldwide- ...Position Summary Waring Commercial is seeking a Strategic Account Manager, Dealer Growth to own and accelerate growth across a select... ...stronger placement, advocacy, and recommendation behavior. Lead strategic business reviews and growth discussions with mid-level...Full timeWork at officeWorldwideHome office
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