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.
- ...Assistant General Counsel, Capital Markets, Broker-Dealer & FinTech About the Company Leading operator of financial markets for international... ...on the operation of alternative trading systems, and managing regulatory obligations. The role also involves communication...Suggested
- 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
$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...SuggestedFlexible 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...SuggestedWork experience placement
- MUFG Americas seeks a Director, Head of Markets Regulatory Affairs & Registrations (U.S. Broker-Dealer) in New York, NY. The role leads regulatory engagement, licensing governance, and reporting programs across the U.S. broker-dealer, ensuring compliance with FINRA, SEC...SuggestedWork at office
$220k - $250k
...live better. As Product Leader for our Broker-Dealer division (Custody, Trading, and Market Data), you'll own the foundational asset management systems behind $70+ billion in assets for... ...with Legal, Compliance, Operations and Capital Markets to navigate the requirements of...Temporary workSummer holidayWork at officeLocal areaFlexible hours$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- ...seeking a Product Leader for its Broker-Dealer division to own foundational asset management systems handling $70B+ in assets... ...across custody, trading, and market data, aligning on a single shared... ...Legal, Compliance, Operations and Capital Markets to navigate requirements...
$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). Escalation Management Formally elevate high‑risk trading anomalies...Full timeLocal area$100k - $110k
...individual to work at a growing U.S. broker-dealer subsidiary of a global... ...material to Senior Management and quarterly presentation to... ...preparation of 15c3-1 Daily Net Capital computations and Customer Protection... ..., certifications obtained. Market and organizational factors...Extra incomeWork at office- ...York seeks a mid-to-senior level associate for its Real Estate Capital Markets practice. The ideal candidate will handle commercial real... ...representing clients in financing matters, originating loans, managing distressed workouts, and handling property transactions. Requirements...
- ...seeks a mid to senior-level associate to join its Real Estate Capital Markets practice in New York. The ideal candidate will have... ...matters. Originate mortgage loans and structured debt for lenders. Manage workouts of distressed commercial real estate loans. Handle purchases...
- ...global financial institution is seeking an Audit Manager to lead internal audits across Broker Dealer, Swap Dealer, and IT Operations. Reporting to senior... ...technology, regulatory, and control risks across capital markets businesses. Evaluate the effectiveness of internal...
- Ivy Capital is seeking a Director of Investor Relations to play a central role in capital formation, investor experience, and marketing efforts. This high‑impact, hands‑on role partners with senior... .... You will work with the IR Manager to deliver a high‑quality investor...
$159.4k - $181.9k
Trade Surveillance Manager (Broker-Dealer & Swap Dealer) - Capital One About the Role We are seeking a highly skilled Trade Surveillance Manager to lead and... ...requirements. The ideal candidate will bring market‑conduct expertise across Swap Dealer products (Interest...Full timePart timeLocal area- A dynamic energy firm is hiring a Capital Markets Senior Analyst or Associate for their New York office. The role focuses on supporting capital raising and transaction execution, requiring 2-4 years of experience in energy or project finance. Responsibilities include financial...Remote jobWork at office
$290k - $335k
...platform providing essential liquidity, market access and infrastructure services to clients... ...traders, banks, hedge funds and asset managers. With more than 40 offices worldwide,... ...regulatory bodies. Role Summary The Head of Broker Dealer Compliance is an expert in Broker Dealer...Worldwide$180k - $260k
...Frec operates two regulated entities: a broker-dealer and a registered investment advisor.... ...and state regulators for your entity; manage exams, inquiries, and filings, and ensure... ...activity monitoring and reporting. Marketing & communications review — Review marketing...Remote workFlexible hours$200k - $240k
iCapital is seeking a seasoned relationship management and business development leader with deep experience... ...ecosystem, particularly across Independent Broker Dealers (IBD). This role will understand the nuances of private market investing and can translate that expertise...Full timeWork at officeRemote work$90k - $125k
Overview Connecting clients to markets - and talent to opportunity. With5,400+ employees... ..., and advanced trading, research, and management technology. Responsibilities The AML... ...supporting the Chief AML Officer covering the Broker‑Dealer (BD) Securities Division. In this role,...$99.4k - $142k
...: Senior Associate, Trading Operations (Broker Dealer) This role is required to be in person twice... ...systems Intermediate skills in SQL and managing large data sets FINRA Series 99... ...skillset, experience, job scope, and current market data. In the United States, we offer a...Work at officeRemote workFlexible hours$150k - $185k
Purpose of Role Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities... ...practices. Marex has unique access across markets with significant share globally both on... ...to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning...Immediate start- ...Hold Brothers 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...
- ...Betterment seeks a Product Leader for its Broker-Dealer division (Custody, Trading, and Market Data) to own foundational asset management systems behind $70+ billion in assets for 1M+ clients. You will lead PMs delivering client/advisor capabilities while ensuring scale...
$60.8k - $80k
...way that will provide them with a future-proof model for modern marketing. With our unique expertise in consumer engagement, CRM, and... ...equivalent experience. ~3+ years of experience in marketing, account management, territory sales, outside sales, business development,...Full timeTemporary workFreelanceWork at officeLocal areaWork from homeWorldwideWork visaFlexible hours$130k - $177k
...client is seeking a Business Analyst to join our Broker Dealer Back Office team, with a focus on Transaction Lifecycle Management (TLM) for collateral management. This role... ...pledged collateral. Support mark-to-market valuation and margin call processes. Define...Contract workH1bLocal areaRelocation3 days per week- ...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... ...tax filings, payroll, reconciliations, and vendor management while ensuring compliance with SEC, FINRA and...
$150k - $160k
...banking, securities, investment, and wealth management services. The Firm's employees serve... ...investment strategies across public and private markets and custom solutions to institutional... ...techniques essential for optimizing capital raising and mitigating risks;Private...Temporary workWorldwide- ...the world's largest alternative asset managers, with a 100+ year heritage of owning and... ...Consultant is responsible for supporting major markets and directly managing secondary markets... ...experience preferred.* Independent Broker Dealer (IBD) channel experience is highly...Temporary workLocal areaWorldwide
- Hold Brothers Capital, LLC is seeking a CFO/FINOP to oversee accounting and regulatory filing functions for a self-clearing broker‑dealer. The role reports to the CEO and entails hands‑on day‑... ...7 is required. Key duties include managing FINOP responsibilities, preparing...
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