Assistant General Counsel, Broker-Dealer Attorney New York Life Insurance Company
New York, NY
**Location Designation:** [[cust_rolelocationdesignation]]When you join New York Life, you're joining a company that values career development, collaboration, innovation, and inclusiveness. We want e ...
Read more
New York,NY
**Location Designation:** [[cust_rolelocationdesignation]]When you join New York Life, you're joining a company that values career development, collaboration, innovation, and inclusiveness. We want e
Assistant General Counsel, Broker-Dealer Attorney New York Life
New York, NY
Location Designation: Hybrid - 3 days per weekWhen you join New York Life, you're joining a company that values career development, collaboration, innovation, and inclusiveness. We want employees to f ...
Read more
New York,NY
Location Designation: Hybrid - 3 days per weekWhen you join New York Life, you're joining a company that values career development, collaboration, innovation, and inclusiveness. We want employees to f
Associate General Counsel, Broker-Dealer/Investment Advisor Group Financial Industry Regulatory Authority, Inc.
New York, NY
This position is primarily responsible for working with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring spe ...
Read more
New York,NY
This position is primarily responsible for working with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring spe
CCO of Broker-Dealer GCM Grosvenor Inc.
New York, NY
**CCO of Broker-Dealer**at GCM Grosvenor New York, New York, United States **SUMMARY**The Compliance team is looking for a Chief Compliance Officer for the firms limited purpose broker-dealer wh ...
Read more
New York,NY
**CCO of Broker-Dealer**at GCM Grosvenor New York, New York, United States **SUMMARY**The Compliance team is looking for a Chief Compliance Officer for the firms limited purpose broker-dealer wh
Commercial Broker Dealer Chief Compliance Officer - Sr. Director Capital One
New York, NY
Commercial Broker Dealer Chief Compliance Officer - Sr. DirectorThe Sr. Director will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broke ...
Read more
New York,NY
Commercial Broker Dealer Chief Compliance Officer - Sr. DirectorThe Sr. Director will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broke
Broker Dealer Accountant Social Capital Resources LLC
New York, NY
Performing assigned monthly, quarterly, and annual general ledger closing processes
Assisting in the development of financial statements and reports
Reviewing and explaining variances to budget/f ...
Read more
New York,NY
Performing assigned monthly, quarterly, and annual general ledger closing processes
Assisting in the development of financial statements and reports
Reviewing and explaining variances to budget/f
Manager, Broker Dealer Regulatory Reporting Scotiabank Hockey Club
New York, NY
Title: Manager, Broker Dealer Regulatory Reporting Requisition ID: 142737 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. * Responsible ...
Read more
New York,NY
Title: Manager, Broker Dealer Regulatory Reporting Requisition ID: 142737 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. * Responsible
Compliance Officer (Advisory & Broker Dealer) Leumiusa
New York, NY
**Compliance Officer (Advisory Broker Dealer)**at Leumi USA New York, NY USA * Key participant in and contributor to the execution of LISI (Leumi Investment Services Inc) Compliance Program, e ...
Read more
New York,NY
**Compliance Officer (Advisory Broker Dealer)**at Leumi USA New York, NY USA * Key participant in and contributor to the execution of LISI (Leumi Investment Services Inc) Compliance Program, e
Broker Dealer Regulatory Governance Specialist UBS
New York, NY
**Broker Dealer Regulatory Governance Specialist**United States - New YorkCompliance Group Functions Job Reference #247239BRCityNew YorkJob TypeFull Time Your roleWe are looking for someone who can: ...
Read more
New York,NY
**Broker Dealer Regulatory Governance Specialist**United States - New YorkCompliance Group Functions Job Reference #247239BRCityNew YorkJob TypeFull Time Your roleWe are looking for someone who can:
Executive Director - Broker Dealer Compliance HPS Investment Partners
New York, NY
HPS Investment Partners is a leading global investment firm that seeks to provide creative capital solutions and generate attractive risk-adjusted returns for our clients. We manage various strategies ...
Read more
New York,NY
HPS Investment Partners is a leading global investment firm that seeks to provide creative capital solutions and generate attractive risk-adjusted returns for our clients. We manage various strategies
Compliance Officer - US Broker-Dealer Swiss Re
New York, NY
Location: New York, NY, US ** Compliance Officer - US Broker-Dealer****About Swiss Re**Swiss Re is one of the worlds leading providers of reinsurance, insurance and other forms of insurance-base ...
Read more
New York,NY
Location: New York, NY, US ** Compliance Officer - US Broker-Dealer****About Swiss Re**Swiss Re is one of the worlds leading providers of reinsurance, insurance and other forms of insurance-base
Chief Compliance Officer, Broker Dealer YieldStreet, Inc.
New York, NY
**Chief Compliance Officer, Broker Dealer**New York City / Legal Legal / Full Time **About Yieldstreet** Yieldstreet is building the largest global digital wealth management platform to change the w ...
Read more
New York,NY
**Chief Compliance Officer, Broker Dealer**New York City / Legal Legal / Full Time **About Yieldstreet** Yieldstreet is building the largest global digital wealth management platform to change the w
Manager, Broker Dealer Accounting and Reporting AllianceBernstein Holding L.P.
New York, NY
Who You'll Work With:The Broker-Dealer Accounting/Regulatory Reporting team of Bernstein Institutional Services is in search of a manager, Broker Dealer Accounting and Reporting to join their newly fo ...
Read more
New York,NY
Who You'll Work With:The Broker-Dealer Accounting/Regulatory Reporting team of Bernstein Institutional Services is in search of a manager, Broker Dealer Accounting and Reporting to join their newly fo
NY - Compliance Officer in Broker Dealer Intesa Sanpaolo
New York, NY
**NY - Compliance Officer in Broker Dealer****Location:** New York, US *Intesa Sanpaolo is the banking group leader in Italy. Assisting more than 14,6 milion of retail customers through a network of ...
Read more
New York,NY
**NY - Compliance Officer in Broker Dealer****Location:** New York, US *Intesa Sanpaolo is the banking group leader in Italy. Assisting more than 14,6 milion of retail customers through a network of
Dealer Sales Manager Koch Industries, Inc.
New York, NY
Your JobGuardian Glass is seeking a Dealer Sales Manager to join our team!As the Dealer Sales Manager, your principal responsibility will entail advancing the promotion of value-added coated glass tai ...
Read more
New York,NY
Your JobGuardian Glass is seeking a Dealer Sales Manager to join our team!As the Dealer Sales Manager, your principal responsibility will entail advancing the promotion of value-added coated glass tai
Risk Management - Liquidity Risk Management - Markets/Broker-Dealer Entities - Vice Presiden JPMorgan Chase
New York, NY
Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a respon ...
Read more
New York,NY
Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a respon
US Broker Dealer Controller / Deputy CFO Financial Executives International
New York, NY
**US Broker Dealer Controller / Deputy CFO**Citigroup New York , NY 10176 The Finance Acctg Sr Group Manager manages multiple teams through other managers. In-depth understanding of how own ...
Read more
New York,NY
**US Broker Dealer Controller / Deputy CFO**Citigroup New York , NY 10176 The Finance Acctg Sr Group Manager manages multiple teams through other managers. In-depth understanding of how own
Assistant General Counsel, Broker-Dealer Attorney New York Life Insurance Co
New York, NY
Location Designation: Hybrid - 3 days per week When you join New York Life, you're joining a company that values career development, collaboration, innovation, and inclusiveness. We want employees to ...
Read more
New York,NY
Location Designation: Hybrid - 3 days per week When you join New York Life, you're joining a company that values career development, collaboration, innovation, and inclusiveness. We want employees to
Manager, Broker Dealer Accounting and Reporting AllianceBernstein Holding LP
New York, NY
Who You'll Work With:The Broker-Dealer Accounting/Regulatory Reporting team of Bernstein Institutional Services is in search of a manager, Broker Dealer Accounting and Reporting to join their newly fo ...
Read more
New York,NY
Who You'll Work With:The Broker-Dealer Accounting/Regulatory Reporting team of Bernstein Institutional Services is in search of a manager, Broker Dealer Accounting and Reporting to join their newly fo
Commercial Broker Dealer Chief Compliance Officer - Sr. Director Capital One Financial Corporation
New York, NY
NYC 299 Park Avenue (22957), United States of America, New York, New York. Commercial Broker Dealer Chief Compliance Officer - Sr. Director. The Sr. Director will be the Commercial Broker Dealer Chief ...
Read more
New York,NY
NYC 299 Park Avenue (22957), United States of America, New York, New York. Commercial Broker Dealer Chief Compliance Officer - Sr. Director. The Sr. Director will be the Commercial Broker Dealer Chief
Inside Broker - RTS Ryan Specialty Group
New York, NY
RT Specialty, a division of Ryan Specialty is looking for an Inside Broker to join our NYC team. We are a fast paced, energetic and rapidly growing organization that offers a great opportunity for som ...
Read more
New York,NY
RT Specialty, a division of Ryan Specialty is looking for an Inside Broker to join our NYC team. We are a fast paced, energetic and rapidly growing organization that offers a great opportunity for som
Dealer Territory Sales Consultant PUBLICIS GROUPE
New York, NY
Company DescriptionJob DescriptionImportant: This is an outside field sales role, which means you will be required to travel. The preference is for this individual to live in Kansas.We're leading our ...
Read more
New York,NY
Company DescriptionJob DescriptionImportant: This is an outside field sales role, which means you will be required to travel. The preference is for this individual to live in Kansas.We're leading our
Chief Compliance Officer, Broker-Dealer Simmons & Hanbury
New York, NY
Our client is a leading quantitative investment firm looking to find a Chief Compliance Officer for the buildout of their Clearing Broker-Dealer requirements.Primary Accountabilities / Responsibilitie ...
Read more
New York,NY
Our client is a leading quantitative investment firm looking to find a Chief Compliance Officer for the buildout of their Clearing Broker-Dealer requirements.Primary Accountabilities / Responsibilitie
Senior Consultant - Accounting Advisory - Broker Dealer (NY) CrossCountry Consulting LLC
New York, NY
**Senior Consultant - Accounting Advisory - Broker Dealer (NY)**CrossCountry Consulting is a trusted business advisory firm that provides customized finance, accounting, human capital management, risk ...
Read more
New York,NY
**Senior Consultant - Accounting Advisory - Broker Dealer (NY)**CrossCountry Consulting is a trusted business advisory firm that provides customized finance, accounting, human capital management, risk
Vice President, Chief Compliance Officer of Broker-Dealer and RIA Forge Global
New York, NY
At Forge (NYSE: FRGE), we know our team is our greatest asset. As technology innovators in the private market, our vision is to deliver a richer future for everyone. We live that vision through our va ...
Read more
New York,NY
At Forge (NYSE: FRGE), we know our team is our greatest asset. As technology innovators in the private market, our vision is to deliver a richer future for everyone. We live that vision through our va
