- Locations: New York, California, Illinois, Massachusetts, New Jersey
- Related Keywords: Advertising Broker Dealer Compliance, Broker, Broker Compliance, Broker Dealer, Broker Dealer Compliance Manager, Broker Dealer Compliance Officer, Compliance, Compliance Broker Dealer Associate, Securities Broker Dealer Compliance
- Tax Manager
- Execu-Search (New York, NY)
- ...Tax Manager will primarily be responsible for managing the tax compliance engagements for the Firm's Alternative Asset clients (hedge funds...Combo experience Experience with tax management for hedge fund, investment partnership, or broker - dealer clients Strong managerial skills *
- Corporate Tax Supervisor/Manager
- Execu-Search (Long, OK)
- ...will primarily be responsible for Corporate and Partnership Tax compliance with additional responsibilities for legacy audit work the firm...family-oriented firm! Skills: 5+ years of Accounting/Tax experience with Broker - Dealer / Hedge Fund clients Strong communication and...
- Broker - Dealer Compliance Officer
- Michael Page International (Greenwich, CT)
- ... Compliance Officer will have met the following requirements: - Bachelor's degree is a MUST - Minimum of 4 years in a broker dealer Compliance function - Series 7 & 24 is strongly preferred What's on offer The Broker - Dealer Compliance Officer will receive...
- Broker / Dealer - Compliance
- R Capital Advisors (MN)
- Broker / Dealer - Compliance R Capital Advisors, LLC (RCA) - growing financial firm seeking experienced Broker / Dealer personnel. Successful candidates possess compliance background including five years experience using FINRA Series 24 and/or Series 27 licenses. Knowledge...
- Broker Dealer Compliance Manager
- Michael Page International (Boston, MA)
- ...and WSP updates. This position will evolve to having a global coverage. Who we are looking for description 3-7 years experience of Broker Dealer Compliance Ability and enthusiasm to work independently cover all tasks from a hands on perspective perspective with attention to detail....
- Broker Dealer Compliance Officer (Spanish Required)
- Robert Half Management Resources (Miami, FL)
- Broker Dealer Compliance Officer (Spanish Required) Only qualified candidates meeting the minimum requirements will be contacted Review of KYC information (including Source of Wealth) and related account documentation for existing "high, medium and low risk" high-net...
- Compliance Officer - Generalist Broker Dealer
- Michael Page (Greenwich, CT)
- ... Compliance Officer will have met the following requirements: - Bachelor's degree is a MUST. - Minimum of 4 years in a broker dealer Compliance function. - Series 7 & 24 is strongly preferred. The Broker - Dealer Compliance Officer will receive a competitive...
- Compliance Assistant for Broker Dealer and related Registered Investment Advisor
- Unknown (Greenwich, CT)
- ...with any changes to federal, state and SRO rules and regulations. Ideal candidate will possess relevant broker dealer and registered investment advisor compliance experience, hold Series 7, 63, and 24 be diligent, organized, detail-oriented, and able to work independently as well...
- Broker Dealer Compliance Officer (Spanish Required)
- Robert Half Management Resources (Miami, FL)
- ...well as interviewing business line Portfolio Managers. Additionally, the position may also require liaision with the business line account administrators, Compliance and Technology to address and/or resolve KYC related matters. The position is a long-term assignment and reports directly to...
- Senior Fixed Income Compliance Officer
- Institutional Broker / Dealer - Fixed Income (New York, NY)
- Senior level compliance officer needed for Institutional Broker - Dealer to provide regulatory/ compliance advice and support to fixed income sales and trading businesses covering the following scenarios: US rates sales and trading, emerging markets sales and trading, credit sales...
- Chief Compliance Officer - IA and Broker - Dealer Alabama
- Unknown (Montgomery, AL)
- ...Act experience. The candidate should have experience with aninvestment advisor, asset management firm or money management division of abroker- dealer . Since the firm has a limited purpose broker - dealer it would behelpful to also have Compliance experience at a brokerage firm.
- Wrap Accounts/Managed Accounts - Compliance Officer
- The Compliance Search Group LLC (New York, NY)
- ...be obtained within 12 months date of hire. *Bachelor's Degree preferred * JD preferred *One or more: *Investment Adviser and/or Broker - Dealer compliance experience *Audit experience and/or testing experience * Regulatory filings, including 206(4)-7 or 38a-1 annual reviews *Risk...
- Head of Regulatory Reporting
- Execu-Search (New York, NY)
- ...to join its staff of motivated accounting professionals. If you have demonstrating Accounting experience, extensive experience in and understanding of broker - dealer reporting, and strong managerial skills, this is an excellent opportunity to solidify a successful career with a reputed...
- Director of Regulatory Reporting
- Execu-Search (New York, NY)
- ...reporting requirements. The team is responsible for the regulatory compliance with relevant regulations (including ANC Net Capital Rule,...exceptional opportunity for a seasoned accounting professional with extensive Broker - Dealer experience, as well as experience liaising...