Assurance Manager - Broker Dealer/Capital Markets
Rsm Us Llp.
**Responsibilities:**RSM is looking for a Assurance Manager to join our Capital markets practice, which specializes in serving, introducing and clearing broker dealer clients of the firm. Our Capital markets practice is nationally integrated and operates across geographies as a part of the firm’s Financial Markets assurance service line. RSM is one of the largest assurance firms serving broker dealers across the nation.**Required Qualifications:*** BS/BA Degree in Accounting or equivalent degree* CPA or CA Certification* 5+ years of current or recent experience in a public accounting environment* Experience leading teams and mentoring associates* Understanding of audit services with knowledge of GAAP, GAAS and FASB or IFRS regulations* A proven record of building profitable, sustainable client relationships* Minimum of 4 years of team lead or in-charge experience overseeing staff on multiple engagements**Preferred Qualifications:*** A successful record of directing and deploying staff and senior associates on multiple, simultaneous engagement #J-18808-Ljbffr Rsm Us Llp.
- **Responsibilities:**RSM is looking for a Assurance Manager to join our Capital markets practice, which specializes in serving, introducing and clearing broker dealer clients of the firm. Our Capital markets practice is nationally integrated and operates across geographies...Suggested
$89.8k - $170.5k
...Assurance Manager RSM is looking for an Assurance Manager to join our Capital Markets practice, which specializes in serving, introducing, and clearing broker dealer clients of the firm. Our Capital Markets practice is nationally integrated and operates across geographies...SuggestedWork experience placementInternshipLocal 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...Suggested
$200k - $250k
...solutions across mergers and acquisitions, capital solutions, financial restructuring,... ...for all global M&A transactions. Broker-Dealer and Capital Markets Coverage Group Houlihan Lokey's... ...Key contributions will include: Managing and advancing every stage of sell-...SuggestedInternship$136.5k - $300k
...Senior Director, Global Segment Marketing Manager - Wealth Intermediaries & Banks/Broker-Dealers Marketing At BNY, our culture allows us to run our company better... ..., Fortune 2025 ~"Most Just Companies", Just Capital and CNBC, 2025 Our Benefits and Rewards:...SuggestedTemporary workWorldwideFlexible hours$150k - $225k
Vice President, Independent Broker Dealer (IBD) Channel Marketing Manager page is loaded## Vice President, Independent Broker Dealer (IBD) Channel Marketing... ...public and private markets. We invest our clients’ capital across a range of fixed income and credit opportunities...Flexible hours- ...advisor for private, middle market, and institutional real estate... ...including investment property sales, capital markets, and structured... ...their success. As a mortgage broker your primary focus will be to... ...by a seasoned transaction management team. Key Responsibilities...Work experience placement
- ...seeking an experienced Regulatory Project Manager for a contract role in New York, NY. This position involves leading quality assurance efforts, managing client migrations for... ..., and Legal teams. A background in Capital Markets, proven project management in regulated...Contract work3 days per week
$235k - $260k
...LLP is seeking a talented associate for its nationally recognized Real Estate group. The role involves advising on real estate capital markets and private equity transactions, with a focus on asset acquisitions, joint ventures, and commercial leasing matters. Candidates...- ...Payments Sales Manager - Broker Dealers & Market Structure - Vice President Jersey City, NJ, United States Join the NA Broker Dealers and Market Structure Payments Sales team! As a Payments Sales Manager within the Financial Institutions Group – North America Broker Dealers...Overseas
$200k - $250k
...an experienced Investment Banking Senior Associate or Vice President for its Broker-Dealer and Capital Markets practice in New York. This role requires strong M&A execution experience to manage sell-side processes effectively. The ideal candidate will drive strategic...- ...partnership, is seeking an Associate for the Capital Solutions team in New York, United States. The role involves assisting with marketing and structuring financing arrangements... ...and significant responsibilities in managing portfolio liquidity and supporting debt capital...
$200k - $250k
...Inc.. New York, NY. LaSalle Investment Management is a leading global real estate investment... ...firm combines global scale with local market expertise, serving institutional investors... ...candidate will be responsible for capital raising and capital formation efforts, assist...Work at officeLocal areaWorldwide$131.8k - $150.5k
...Capital One National Association in New York is seeking a Trade Surveillance Principal Associate to enhance and execute its market conduct surveillance program. The role involves monitoring trading activities, conducting investigations, and ensuring compliance with regulatory...$120.8k - $137.9k
...key role in executing and enhancing Capital One’s Commercial Banking market conduct surveillance program across both its institutional Broker-Dealer (BD) and Swap Dealer (SD) businesses... ...Front-Running, Pinging, and Escalation Management. Formally Escalate high-risk trading...Full timePart timeLocal area$100k - $130k
Ares Management in New York, NY is seeking a professional to work within the Real Estate Debt Capital Market team. This position involves partnering with various teams on financing transactions, as well as engaging in cash and liquidity reporting. Candidates should possess...$200k - $235k
...future, and that access to financial markets should not be limited by geography,... ...investing! About the Role: As Managing Director, Broker Dealer FINOP, you will be responsible for... ...deadlines Calculate and monitor net capital position to meet regulatory...Full timeWork at officeWorldwide$150k - $180k
...VP candidate to support our Broker-Dealer Regulatory Reporting team. This... ...reporting, including net capital computations under Rule 15c3-... ...formula under Rule 15c3-3. Manage the timely funding of the Special... ...a wide range of capital markets products and services to corporate...Work at officeLocal areaWork from homeFlexible hours$310k - $390k
...An exciting opportunity has arisen for a Real Estate Capital Markets Litigation Associate to join a highly regarded real estate litigation... ...broad range of commercial real estate litigation matters Manage commercial landlord-tenant disputes, including preparation and...$151.9k - $173.4k
...Broker Dealer Advisory Manager Job Description Compliance Risk Manager will support Capital One’s broker dealers compliance program. Compliance Risk Managers are highly motivated... ...broker dealer associates as necessary. Marketing Material and Public Appearance Reviews: Review...Full timePart timeWork at officeLocal areaFlexible hours$143k - $180k
...MUFG US and Canada Broker Dealer Treasury - VP page is loaded## MUFG... ...Treasury team is part of Global Markets Division Americas. Reporting... ...funding and liquidity risk management, asset liability management,... ..., funds transfer pricing, capital management and resolution planning...Work at officeLocal areaRemote work- ...regulatory reporting concepts (e.g., FOCUS, net capital, reserve calculations) a plus... ...including exciting opportunities in advisory, assurance and tax. Our community is cultivated by... ...range displayed is for the California market. The salary for this role will be based...Contract workLocal areaFlexible hoursShift work
- ...responsible for creating new relationships and managing existing ones with Financial Advisors... ...territory targeting wirehouses and broker dealers by actively developing relationships... ...a high level of expertise related to capital markets, the broader investment management...Local areaWorldwide
$110k - $165k
...we do. From low-fee trading and robust market data to advanced analytical tools, we are... ...looking for a hands-on Senior Accountant with broker-dealer experience to own complex areas of the... ...reports (e.g., FOCUS reporting, net capital, reserve calculations) Apply understanding...Temporary workWork at officeWorldwideMonday to Friday$200k - $225k
...actively help scale our liquidity and capital frameworks. You’ll learn how a broker‑dealer scales its treasury operations... .... You will be a key player in managing the funding lifecycle for diverse... ...as the business expands into new markets and products. Hands‑on Monitoring...Work at office- ...products. Candidates should have at least 2 years of experience in the financial sector, strong communication skills, and an understanding of capital markets. The position supports a hybrid work environment, permitting flexibility in work location. #J-18808-Ljbffr SMBC Group
$159.4k - $181.9k
...highly skilled Trade Surveillance Manager to enhance its surveillance program across Broker-Dealer and Swap Dealer activities.... ...expertise in trade surveillance, market regulation, and the ability to... ...competitive salary range of $159,400 - $181,900. #J-18808-Ljbffr Capital One- ...for supporting LMC members in becoming competitive lumber dealers. The Trader will manage procurement opportunities, provide exceptional service,... ...field, customer service skills, and the ability to analyze market trends. Join LMC and leverage your skills to support...
- ...New York Self Clearing Broker Dealer is seeking an Accounting Professional with Finance experience... ...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...Permanent employmentTemporary work
$200k - $225k
...Head Of Broker Dealer Compliance DriveWealth is on a mission to make... ...that access to financial markets should not be limited by geography... ...& Supervision Direct Management: Supervise a team of... ...simultaneously. Quality Assurance: Review and approve detailed...Full timeWork at officeWorldwide
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