Broker Dealer Accountant
Social Capital Resources
- Performing assigned monthly, quarterly, and annual general ledger closing processes
- Assisting in the development of financial statements and reports
- Reviewing and explaining variances to budget/forecast and to previous reporting periods on a monthly, quarterly, and annual basis
- Preparing journal entries and monthly account reconciliations
- Compliance with SEA xhyhwjd Rule 15c3-3 and SEA Rule 15c3-1.
- FOCUS and FINRA reporting
- Broker Dealer Experience Required
Vacancy posted 11 hours ago
Similar jobs that could be interesting for youBased on the Broker Dealer Accountant in New York, NY vacancy
$100k - $110k
...Seeking a highly motivated, 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 Responsibilities: Create and maintain accounting policies for B/D...SuggestedExtra incomeWork at officeBBVA
New York, NY3 days ago- BBVA, a global financial services company, is seeking a Broker-Dealer Accounting Senior Analyst in New York. The role involves maintaining accounting policies for the broker-dealer, reconciliations, and assisting with month-end close and quarterly board materials. You...Suggested
- ...Broker Dealer Compliance Advisory- Equities & Options We are working with a financial services organization seeking an experienced Compliance professional for a senior advisory position supporting its markets businesses. The role will work closely with business...SuggestedFull time
Dynamics Executive Search
New York, NY5 days ago - ...Senior Treasury / Liquidity Management – Broker-Dealer New York City | Financial Services I'm working with a highly regarded, growing investment bank and broker-dealer that is looking to add a senior Treasury / Liquidity Management professional to its platform....SuggestedTemporary work
Madison-Davis, LLC
New York, NY1 day ago $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...SuggestedFull timePart timeWork at officeLocal areaFlexible hoursCapital One Financial Corp
New York, NY5 days ago- Responsibilities: Partner with executive leadership to shape, execute, and continuously strengthen the firm's compliance framework in alignment with applicable securities industry regulatory obligations. Provide strategic oversight of monitoring, supervisory review...Full time
Partnership Employment
New York, NY5 days ago $213.31k - $355.45k
...Company Overview LPL Financial is a leading independent broker‑dealer supporting over 32,000 financial advisors and approximately 1,100 financial institutions, managing and safeguarding roughly $2.3 trillion in brokerage and advisory assets for about 8 million Americans...LPL Financial LLC
New York, NY1 day ago- BNY is seeking an accomplished Senior Vice President, Segment Marketing for Banks & Broker Dealers in New York. The role leads strategic marketing for the segment, shaping messaging, go-to-market plans and client engagement across global and regional priorities. You will...
- ...our limited partners and portfolio companies. Overview: TPG has an exciting opportunity for an Associate to join its broker-dealer Compliance team in the New York office. Responsibilities include conducting compliance oversight of the firm’s fundraising and capital...Full timeWork at officeLocal area
TPG
New York, NY1 day ago - BNY is seeking a Senior Vice President, Broker-Dealer Lending to join the Institutional Lending team in New York City. The role focuses on managing lending transactions, structuring solutions, and delivering high-quality risk analysis for broker-dealer clients. You will...
- The Marex Head of Broker Dealer Compliance leads a team of compliance officers providing advisory services for Equities, Fixed Income, Listed Options and regulatory reporting to the Americas Broker Dealer units. The role focuses on real-time guidance, ensuring adherence...
$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President 4 days ago Be among the first... ...Employment type Full-time Job function Job function Finance, Accounting/Auditing, and Quality Assurance Industries Financial Services...Full timeWork at officeRemote work- Partnership Employment in New York seeks an experienced compliance leader to partner with executive leadership and shape a robust compliance framework aligned with securities regulations. You will oversee monitoring, supervisory reviews, investigations, regulatory filings...
$130k - $180k
...will also be considered. 2-6 years of experience in financial services, fintech, or with a regulatory agency. Familiarity with broker-dealer regulations and rules from the SEC, CFTC, FINRA, or other relevant regulatory bodies. Prior experience reviewing trading activity...Full timeRemote work- Marsh is seeking an Financial and Operations Principal to lead the FinOps team for MMAS and MMA AM, based in NYC or Urbandale, IA. This hybrid role requires three days in the office weekly and reports to the CFO. You will coordinate audits, regulatory filings, and management...Work at office
$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...- ...role, you’ll make an impact in the following ways: Reporting to the Head of Pershing Treasury, lead ALM matters relating to the broker‑dealer balance sheet monitoring and explaining changes and related management reporting Drive initiatives to support the funding,...Flexible hours
- ...Join the NA Broker Dealers and Market Structure Payments Sales team! As a Payments Sales Manager within the Financial Institutions Group... ...and achieving new business sales goals through effective account planning, development of strong client relationships and the...Overseas
Testing Site - JPMC
New York, NY1 day ago - ...JPMorgan Chase Bank, N.A. in New York, NY is seeking a Broker-Dealer & Cash Equities Attorney to join the Equity Practice Group in the Legal department. The role provides regulatory advice to cash equities research, sales and trading teams and interfaces with regulators...
- McDermott Will & Schulte's Financial Institutions Group in New York seeks an Associate with 3+ years' experience advising broker-dealers and other financial services clients on regulatory matters. You will work with partners on a broad spectrum of securities regulatory...
- ...is responsible to raising net new assets for the firm and servicing the firms existing client base across Wirehouses, Regional Broker Dealers and RIA Aggregator firms. The wholesaler will be able to clearly differentiate our investment strategies, provide technical information...Home office
- Dynamics Executive Search is seeking a senior Compliance professional for a brokerage advisory role focused on equities and options. The candidate will serve as a trusted compliance partner, advising on regulatory questions, evaluating risks, and maintaining supervisory...
- McDermott Will & Schulte seeks an attorney with a substantive focus on broker-dealer regulation to join its regulatory practice in New York. The role involves advising on complex securities matters for leading financial institutions. You will counsel on Securities Exchange...
$199.5k - $275k
...Broker-Dealer & Cash Equities Attorney - Assistant General Counsel - Vice President job at JPMorgan Chase Bank, N.A.. New York, NY. The Legal Department of JPMorgan is currently seeking a highly motivated individual to join its Equities Practice Group within the Corporate...Comunidade Metodista
New York, NY2 days ago- ...Join the NA Broker Dealers and Market Structure Payments Sales team! As a Payments Sales Manager (PSM) Executive Director within the Financial... .... In this role, you will develop and execute disciplined account plans, build and advance a strong pipeline of opportunities,...Overseas
JPMorgan Chase & Co.
New York, NY1 day ago - ...JPMorgan Chase in New York seeks a Payments Sales Manager to drive revenue across the Payments product suite for the NA Broker Dealers and Market Structure segment. You will build a pipeline, manage client relationships, and coordinate with product, risk, and operations...
- Social Capital Resources in New York City seeks a Chief Compliance Officer to lead a full-time program for a FINRA-registered broker-dealer. The candidate will design, implement, and oversee the compliance framework, advise senior management on regulatory developments,...Full time
- ...reconciliations between internal and clearing firm records, investigating discrepancies and driving resolutions. Support customer account onboarding, securities transfers, and corporate action processing with rigorous documentation and controls. Collaborate across Engineering...Remote job
- Securities and Exchange Commission seeks an Attorney-Advisor (Regulatory Counsel) for the Broker-Dealer Exchanges Program (BDX) in New York, NY. The role supports nationwide examinations of broker-dealer entities and investment advisers under securities laws. Qualifying...
$1,000 per day
A leading consulting firm is seeking an experienced Compliance Officer to oversee regulatory governance within a U.S. broker-dealer. The role focuses on maintaining compliance across Operations, Treasury, and Finance interfaces. Key responsibilities include managing the...Contract workWork at office
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Broker Dealer Accountant. Be the first to apply!
Related searches