Director, Broker-Dealer FINOP & Regulatory Reporting
$200k - $225kTensec
Tensec is looking for a Director - Broker-Dealer FINOP to oversee regulatory financial reporting for their Broker-Dealers. The role focuses on compliance and support for the Company's growth strategy. Ideal candidates should have over 8 years' experience in finance, specifically within clearing broker-dealers, and possess a Series 27 license. A competitive salary of $200,000 - $225,000 USD is offered based on qualifications. #J-18808-Ljbffr Tensec
$200k - $225k
...unparalleled industry expertise, and a culture of continued evolution. About the Role As Director - Broker-Dealer FINOP, you will be responsible for the regulatory financial reporting and compliance for the Company’s Broker-Dealers. You will report into the Principal...RegulatoryWork at officeWork from homeWork visaFlexible hours- Taurus Search, a leading Financial Institution, is seeking an AVP for their Broker Dealer Regulatory Reporting team in New York City. This role offers a strong work-life balance and hybrid work. Key responsibilities include preparing the daily net capital and customer...Regulatory
- A leading Financial Institution, is looking for an AVP to join their growing Broker Dealer Regulatory Reporting team. This firm is offering, great work life balance and hybrid work out of their NYC office. Job Responsibilities Preparation of the daily net capital (15...RegulatoryWork at office
- Une banque de premier ordre basée à New York recherche un professionnel expérimenté pour superviser le reporting réglementaire et la gestion des capitaux. Le titulaire du poste sera responsable de diriger une équipe, de s'assurer de la conformité avec les règles SEC, et...Regulatory
$150k - $180k
...this role. Job Description: We are seeking a highly experienced and detail-oriented VP candidate to support our Broker-Dealer Regulatory Reporting team. This role is responsible for the preparation, review, and oversight of all SEC financial responsibility rule...RegulatoryWork at officeLocal areaWork from homeFlexible hours- ...réglementaires pour superviser les conformités selon les règles de la SEC. Ce rôle exige une expertise de plus de 10 ans dans le reporting réglementaire et la gestion des risques. Vous encadrerez une équipe de professionnels en développant leurs compétences tout en gérant...Regulatory
- Larson Maddox is seeking a Regulatory Reporting Specialist in New York, NY. This role involves daily customer and PAB reserve calculations, preparation and analysis of FOCUS reports, and collaborating with front-office, operations, and control teams on regulatory matters...Regulatory
- ...and related reconciliations.* Assess the regulatory impact of new products, business... ...mentor and develop a team of Regulatory Reporting junior staff members.* FOCUS Reports, Supplemental... ...field.* 10+ years of experience in broker-dealer regulatory reporting, capital...RegulatoryTemporary work
- TD in New York is looking for a VP for their Broker-Dealer Regulatory Reporting team. You will manage SEC financial reporting, including net capital computations, and ensure compliance with SEC and FINRA requirements. Requires 7-12+ years in regulatory reporting, strong...Regulatory
$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President 4 days ago Be among the first 25 applicants... ..., NJ $294,000.00-$352,666.00 2 weeks ago Executive Director/VP Quality and Regulatory Vice President, Quality...RegulatoryFull timeWork at officeRemote work- VP Candidate For Broker-Dealer Regulatory Reporting Team We are seeking a highly experienced and detail-oriented VP candidate to support our Broker-Dealer Regulatory Reporting team. This role is responsible for the preparation, review, and oversight of all SEC financial...RegulatoryWork at office
- TD Bank in New York is looking for a highly experienced VP candidate for their Broker-Dealer Regulatory Reporting team. This role involves overseeing SEC financial rule reporting, managing net capital computations, and ensuring compliance with regulatory requirements....Regulatory
$110k - $165k
...hands-on Senior Accountant with broker-dealer experience to own complex... ...ensure accurate financial reporting in a regulated environment.... ...environment Broker-Dealer & Regulatory Accounting Support preparation... ...toward certification Series 27 (FINOP) or prior experience...RegulatoryTemporary workWork at officeWorldwideMonday to Friday$135k - $160k
...oversees and operates Betterment’s broker‑dealer entity that safeguards over $65B in... ...operation of internal controls, and regulatory and financial reporting to maintain compliance with... ...broker‑dealer compliance Work with the FINOP to prepare and file weekly, monthly...RegulatoryTemporary workWork at officeLocal areaMonday to ThursdayFlexible hours- ...candidates have over 3 years of experience in U.S. securities back-office operations and an understanding of Japanese securities management. The role includes providing feedback to product development teams and ensuring compliance with regulatory reporting. #J-18808-Ljbffr...RegulatoryWork at officeRemote work
$66k - $95k
...Broker Dealer Compliance Team Member The Broker Dealer (BD) Compliance team is responsible... ...are applied consistently in the regulatory review of new applicants. Our core function... ...of each applicant, including background reports, internet searches, disclosure history,...RegulatoryWork at officeShift work$150k - $185k
...information visit ( Purpose of Role: Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who... ...trading activities, as well as knowledge of various regulatory reporting requirements. Such guidance is tailored to resolving issues...RegulatoryImmediate start$200k - $225k
...Head Of Broker Dealer Compliance DriveWealth is on a mission to make investing easier. We... ...ensuring institutional-grade execution and regulatory compliance in everything we do. Join us... ...and clearing services environment. Reporting to the Chief Compliance Officer, you will...RegulatoryFull timeWork at officeWorldwide$49.93k - $92.58k
A financial institution is seeking a Broker Dealer Operations Analyst 3 to support institutional operations including collateral management and regulatory reporting. This role requires a bachelor's degree and 3+ years of experience in brokerage operations. You will be part...RegulatoryRemote job$49.93k - $92.58k
...financial institution based in the United States is seeking a Broker Dealer Ops Analyst 3. The role involves managing collateral for TBA trading, supporting municipal operations, and handling regulatory reporting. Candidates should possess a Bachelor’s degree and at least...RegulatoryRemote job- ...The ideal candidate will possess 1-3 years of experience in broker-dealer compliance. The role involves assisting with surveillance... ...trading activity, updating firm policies, and supporting regulatory reporting while staying informed on regulatory developments. Being part...Regulatory
$200k
...through our AAFA network. Our client is a broker dealer located in Northern New Jersey and they... ...is their headquarters and the role reports into the Controller. This is a top tier... ...and clearing broker Management of all regulatory reporting and financial statements for...Regulatory- A leading broker-dealer firm is looking to hire a Compliance Analyst. An ideal candidate will have 1-3 years of experience in a broker... ...activity. Update firm policies and WSPs. Assist with regulatory reporting and exams Stay up to date on regulatory developments. You...Regulatory
- A leading broker-dealer firm is seeking a Compliance Analyst to join their small team. The ideal candidate will have 1-3 years of... ...surveillance of trading activity, updating policies, and handling regulatory reporting. This position offers an opportunity to stay engaged with...Regulatory
- Webull Financial is seeking a Senior Accountant with broker-dealer experience to manage the monthly close and support audit... ...You will collaborate across teams to ensure financial reporting accuracy in a regulatory environment. Ideal candidates have 3-7+ years in accounting...Regulatory
- Broker Dealer Ops Analyst 3 page is loaded## Broker Dealer Ops Analyst 3remote type: Officelocations: Columbus, OH: New York, NY:... ...* Support Equity ATM/FATM and Corporate Buyback activity* Regulatory reporting for TRACE, MSRB, and CAT* Perform verbal verification of instructions...RegulatoryFull timeH1bWork at officeRemote workWork from homeFlexible hours
$143k - $180k
MUFG US and Canada Broker Dealer Treasury - VP page is loaded## MUFG US and Canada Broker Dealer... ...of Global Markets Division Americas. Reporting directly to the US and Canada broker... ...dealer practices are aligned with peers and regulatory expectations.* Analyze new business...RegulatoryWork at officeLocal areaRemote work$150k - $185k
Compliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750 New York, NY Compliance... ...Ensure compliance with the company’s regulatory requirements under U.S. Broker-Dealer... ...for which you have responsibility. Report any breaches of policy to Compliance and...RegulatoryFull timeImmediate start- ...services company in New York is seeking a Senior Manager of Broker-Dealer Financial Operations and Controls. This pivotal role... ...strong expertise in broker-dealer operations, financial reporting, and regulatory compliance with at least 5 years of relevant experience....RegulatoryWork at office
$150k - $185k
...technology-powered services. Purpose of Role Marex is seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who... ...trading activities, as well as knowledge of various regulatory reporting requirements. Such guidance is tailored to resolving issues...RegulatoryImmediate start
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Director, Broker-Dealer FINOP & Regulatory Reporting. Be the first to apply!
- work from home freight broker New York, NY
- remote broker New York, NY
- commercial broker New York, NY
- transportation broker New York, NY
- business broker New York, NY
- freight broker agent New York, NY
- senior broker New York, NY
- energy broker New York, NY
- freight broker New York, NY
- managing broker New York, NY

