Broker-Dealer Finance & Controls Leader - Senior Manager
Menlo Ventures
A leading financial services company in New York is seeking a Senior Manager of Broker-Dealer Financial Operations and Controls. This pivotal role involves managing financial aspects of the firm's broker-dealer entity overseeing $65B in assets. The ideal candidate should possess strong expertise in broker-dealer operations, financial reporting, and regulatory compliance with at least 5 years of relevant experience. This position requires in-office attendance Monday to Thursday in NYC, offering a competitive salary and comprehensive benefits package. #J-18808-Ljbffr
- ...Compliance Team in San Francisco. This senior role entails owning the... ...Registered Investment Adviser and Broker-Dealer entities, ensuring frameworks and controls align with regulatory requirements... ...leading regulatory matters and managing compliance training programs,...Senior
$136.5k - $300k
...Senior Director, Global Segment Marketing Manager - Wealth Intermediaries & Banks/Broker-Dealers Marketing At BNY, our culture allows us to run... ...Together, we power the future of finance - and this is what... ...position the firm as a thought leader Cultivate relationships...SeniorTemporary workWorldwideFlexible hours$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... ...clearing firm, and banking institutions. As Senior Manager of Broker‑Dealer Financial Operations...SeniorTemporary workWork at officeLocal areaMonday to ThursdayFlexible hours$200k - $250k
...Business Unit: Corporate Finance Industry: Financial... ...global M&A transactions. Broker-Dealer and Capital Markets Coverage... ...&A transactions, and support senior bankers' efforts to develop relationships... ...will include: Managing and advancing every stage of...SeniorInternship- ...Street is seeking an experienced Financial Controller. The ideal candidate will be a CPA with... ...experience, particularly within the Broker-Dealer sector. Key responsibilities include... ...regulatory compliance, and internal control management. Strong leadership and technical...Suggested
$110k - $165k
...should have an equal opportunity to control their own financial future. Our vision... ...We're looking for a hands-on Senior Accountant with broker-dealer experience to own complex areas of the... ...accounting Partner with compliance and finance on regulatory requirements and...SeniorTemporary workWork at officeWorldwideMonday to Friday- ...New York Self Clearing Broker-Dealer is seeking a Chief... ...and review all of the finance departments work to ensure... ...collaborating with senior management. Key Responsibilities... ...or senior finance leader, preferably in a broker... ...Broker Dealer Controller is responsible for overseeing...
- ...CG Oncology, Inc. is seeking a Sr Director, Quality Control to drive quality strategy and oversee compliance for bladder cancer therapies... ...strategic leadership capabilities. The ideal candidate will manage end-to-end product quality, ensuring operational excellence and...SeniorRemote work
$151.5k - $222.2k
...Lilly is seeking a Senior Director – Quality Control at its Lebanon, IN facility. The successful candidate will lead the QC Labs operations, ensuring compliance and integrating best practices across manufacturing processes. Key requirements include a bachelor's degree...Senior$110k - $165k
...Webull Financial is seeking a Senior Accountant to manage the monthly close process and support audit readiness. Responsibilities include preparing... ...have 3-7+ years of relevant experience, particularly in broker-dealer or financial services, and familiarity with SEC/FINRA...SeniorWork at office- ...New York Self Clearing Broker Dealer is seeking an Accounting Professional with Finance experience to work in a permanent role... ...to move into a FINOP or Controller role in the foreseeable future... ...of customer assets. · Create management reports to monitor capital and...Permanent employment
- ...financial services organization seeks a seasoned executive for Operational Risk Management in New York. The role involves overseeing risk management frameworks, ensuring adequate controls, and driving operational insights in the sales and trading sectors. Ideal candidates...
$10k
...the smart infrastructure for finance teams, embedded in the transaction... ...shape how companies move and manage billions, Ramp is the place... ...newly closed customers. As a Senior Scaled CSM, you’ll play a... ...presence, setting clear agendas, controlling call flow, and driving as...SeniorFull timeWork at officeHome officeRelocation packageFlexible hours- ...the Financial Services Industry, is adding Senior Accountant to their team.In this role your duties will include:Broker dealer accounting for equites, commodities and swaps... ...Skills Bachelor's degree in Accounting or Finance 3+ years of institutional trading,...SeniorHourly payContract work
- ...A state government agency is seeking a Senior IT Auditor to conduct thorough audits of IT controls across various environments. Ideal candidates will have a relevant bachelor's degree, CPA certification preferred, and significant experience in IT auditing. This role includes...Senior
- ...Project Manager/Wealth Management Or Broker Dealer We are seeking an experienced Project Manager with a strong... ...functional teams, stakeholders, and senior management to drive projects... ...~ Bachelor's degree in Business, Finance, Information Technology, or a related...
- ...Vishay Intertechnology is seeking a Senior Internal Auditor for a hybrid position... ...internal audit engagements to evaluate risk management and internal controls. The ideal candidate will have a bachelor's degree in Accounting or Finance and 2–7+ years of relevant experience,...Senior
$70.6k - $139.8k
...Audit Senior Associate Your journey at Crowe starts... ...looking for future leaders, which means a partner... ...with experience in the Broker Dealer industry vertical.... ...and working with client management and staff at all levels... ...Masters in Accounting, Finance, or related focus is...SeniorLocal areaWorldwideHome office$70.6k - $139.8k
Crowe is seeking an Audit Senior Associate for its New York office. The role involves leading client engagements, supervising staff, and maintaining client relationships in the Broker Dealer industry. Candidates should have over 2 years of experience in public accounting...SeniorWork at office- Compass Group USA is seeking a Senior Regional Controller in New York City. This role involves overseeing the financial reporting for multiple... ...candidate will have a Bachelor's degree in Accounting or Finance, with strong analytical and Excel skills, and at least five...SeniorLocal area
- ...GEA Germany GmbH in New York seeks a Senior Project Controller to manage key project activities and financial performance. The ideal candidate will have a Bachelor’s degree in accounting or finance, with 5+ years in finance or accounting and strong leadership skills....Senior
$170k - $180k
...Foundation in New York City is seeking a Controller to lead accounting operations and ensure... ...role oversees compliance with GAAP, manages a team, and optimizes the Workday ERP platform... ..., a bachelor's degree in Accounting or Finance, and strong analytical skills. The...SeniorWork at office$156.17k - $192.61k
...Overview The Compliance Lead, Broker‑Dealer & Investment Adviser is a senior member of Gusto’s... ...RIA, ensuring frameworks, controls, and infrastructure—... ...and more. Own incident management and escalation, including... ...functionally with Legal, Product, Finance, Marketing, Sales, and...Full timeLocal area$150k - $200k
...Brown Brothers Harriman & Co. is looking for a Senior Hedge Fund Controller to oversee a team managing the accounting and reporting for Private Funds. This role... ...and a Bachelor's degree in Accounting or Finance. The Senior Hedge Fund Controller will manage financial...Senior- ...located on Wall Street is seeking an experienced Financial Reporting Manager. The ideal candidate will be a CPA with over six years of progressive accounting experience, particularly in the Broker-Dealer sector. Responsibilities include overseeing financial reporting,...Senior
$135k - $165k
.... The position requires a strong compliance professional with 5 years of related experience. The role includes drafting policies, managing regulatory examinations, and providing mentorship to team members. Comprehensive health coverage, 401(k) match, and generous time...Senior- ...Responsibilities:**RSM is looking for a Assurance Manager to join our Capital markets practice,... ...in serving, introducing and clearing broker dealer clients of the firm. Our Capital markets... ...of directing and deploying staff and senior associates on multiple, simultaneous...
- ...role: Wells Fargo is seeking a Senior Lead Compliance Officer to... ...risk assessments, initiative management, metrics, and reporting Provide... ..., including business leaders, legal, audit and multiple U.... ...well as consumer and commercial finance, through our four reportable...SeniorFull timeWork experience placement
$140k - $160k
...company is building out its San Diego finance and accounting function and is seeking an accounting leader to help establish and manage the local GL team. This is a high-impact... ...-driven environment. Role: Assistant Controller / Senior Accounting Manager Location: Sorrento...SeniorLocal area- ...A leading assurance firm in New York is seeking an Assurance Manager for its Capital markets practice. The role involves serving broker dealer clients and leading assurance teams. Candidates should have a BS/BA in Accounting, CPA or CA certification, and a strong background...
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