Latest Broker Dealer Operations jobs in New York, NY

18 Broker Dealer Operations Jobs in New York, NY

Crypto Compliance Officer JCW - New York, NY, United States industry, with a focus on broker-dealer operations and familiarity with FINRA/SEC regulations. Proven track record of successfully developing and implementing compliance policies and procedures, preferably 12 days ago
Internal Audit Manager – Broker-Dealer BBVA - , NY, United States Internal Auditor to join our team. The candidate will be responsible for evaluating and improving the effectiveness of risk management, control and governance processes within our Broker Dealer operations 13 days ago
Treasury Intraday Liquidity Management (Forecasting and Analytics) - Vice President JPMorgan Chase Bank, N.A. - New York, NY on continued evolution of the IDL Dashboard * Partner with the broker/dealer and other Treasury teams to drive transparency and anticipate liquidity needs * Contribute to the USD IDL Playbook covering 3 days ago
Equity Trader / Specialist Blaylock Van, LLC - New York, NY, United States Blaylock Van, LLC, an established Minority Owned Business Enterprise broker-dealer specializing in banking and underwriting of municipal and corporate entities on a national scope, is seeking 20 days ago
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Compliance Officer Hold Brothers - New York, NY and implements directives and/or regulation that impact(s) the current compliance environment. Execute on our broker-dealer compliance functions. Work with the broker-dealer Operations and Trading teams to ensure 110,000 - 150,000 13 days ago
Vice President, Regulatory Analyst/Finance Accounting Lead Analyst - New York, NY (Hybrid) Citi - New York, United States of customer funds held by the broker-dealer. The primary entity that is subject to these rules is Citigroup Global Markets Inc "CGMI", plus other small broker-dealers. Regulatory works closely with Treasury $129,840.00 - $194,760.00 11 days ago
Assistant General Counsel, Broker-Dealer Attorney New York Life Insurance Co - New York, NY, US -dealer issues, including supervision, sales practices, conflicts of interest, registration, operations, and compliance Collaborate with business, compliance and legal teams to ensure compliance 18 days ago
Executive Vice President (Finance and Operations) Hold Brothers - New York, NY Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking an EVP of Finance & Operations to oversee the self-clearing brokerage operations, related affiliates 200,000 - 240,000 More than 30 days ago
Financial Crimes Technology - Operations and Technology Manager PwC - New York, NY, US banking, broker dealers) and transactional flows; Common and emerging issues impacting Financial Services clients Knowledge of data analytics and risk modelling as it relates to AML/BSA and OFAC solutions More than 30 days ago
Global Banking & Markets, Prime Services Futures and Clearing Risk, Vice President - New York Goldman Sachs - New York, United States in the listed markets on both an intraday and overnight risk basis. Our client base includes large institutional fund managers, hedge funds, CTAs, market makers and broker dealers. We are staffed globally Competitive 27 days ago

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