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.
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$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...$125k - $160k
Real Estate - Capital Markets, Associate Location: New York, NY Business Unit Overview Blackstone is a global leader in real estate investing... ...in 1991 and has US $315 billion of investor capital under management. Blackstone is the largest owner of commercial real estate...Work at officeLocal area- Motion Recruitment Partners LLC is seeking a skilled Business Analyst / Project Manager in New York, NY. In this role, you will leverage your Capital Markets expertise to lead quality assurance efforts and collaborate with Sales, Trading, and other teams to drive client...Contract work3 days per week
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Operational Risk Management (ORM) is an enterprise-level independent... ...Management, Services, Markets, Banking & International, and... ...Global Head of ORM‑ Markets & Broker‑Dealers is responsible for leading ORM... ...AI prompt creation/quality assurance experience Primary Location...Full time$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- ...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
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...competitive advantage in the markets we serve. We are all united... ...Washington, D.C. PNC Wealth Management (PNCWM) is PNC’s fast-growing retail investment adviser/broker-dealer. PNCWM’s advice and planning... ...Banking, Private Bank and Capital Markets businesses, as well...Full timeTemporary workPart timeWork experience placementWork at office$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- Finance - Broker Dealer Analyst - Fall 2026 US Graduate Program New York... ..., technology, risk management, trade execution, prime brokerage... ...Marex has unique access across markets with significant share... ...role in supporting the firm’s capital markets activities by delivering...Full timeImmediate start
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..., Sales & Trading (US Equities/Options Broker-Dealer) New York, NY Galaxy is a global... ...spans trading, investment banking, asset management, staking, self-custody, and... ...digital assets and traditional financial markets are converging. This is a hybrid role spanning...Work at officeLocal areaFlexible hours$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- ...Financial Institution, is seeking an AVP for their Broker Dealer Regulatory Reporting team in New York City.... ...include preparing the daily net capital and customer reserve formulas, assisting with Focus filings, and managing quarterly risk assessments. Candidates should...
- A leading global 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...
$190k - $225k
...hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within... ...Compliance Officer in the oversight, management, and execution of the broker‑dealer’s comprehensive... ...across various business lines on new marketing initiatives, providing compliance...Full timeWork at officeRemote work- ...expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center... ...a Lead Credit Officer on the Banks and Broker Dealers team, you will leverage your analytical... ...including traditional credit products, markets products (derivatives, trading, and...
- ...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
$59.85k - $78.8k
...them with a future-proof model for modern marketing. With our unique expertise in consumer... ...You’ll Make an Impact As an Automotive Dealer Marketing Consultant, you will serve as... .... You will work closely with dealership management teams to identify opportunities, optimize...Temporary workWork experience placementFreelanceLive inWork at officeLocal areaWorldwideFlexible hours$280k - $300k
Broadridge is seeking a Head of Product Management for their Bank Broker Dealer business in New York. You will create product strategies and lead a product team to align products with market needs. The role is hybrid, combining both remote and in-office work. The ideal...Work at officeRemote work$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
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