- Capital One (Mclean, VA)
- Manager , Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting ... We are seeking a highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory… more
- Coinbase (Juneau, AK)
- …execution in a fast‑paced, regulated environment? We are looking for an exceptional Manager in our Broker Dealer Operations function, establishing the ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to support our...function to support our equities trading product. As a Manager , you will both lead and directly contribute to… more
- Robert Half Finance & Accounting (Hartford, CT)
- …growing its Financial Services Practice with SBIC audit services including PE, Hedge, Broker Dealer , Fund to Fund and Real Estate Funds. Minimum requirements ... Description Assurance Manager to $175,000 plus bonus HYBRID WORK SCHEDULE...contract, temporary and permanent placement solutions for finance and accounting , technology, marketing and creative, legal, and administrative and… more
- Robert Half Finance & Accounting (Minneapolis, MN)
- …oversight. Qualifications 7+ years of relevant compliance experience; prior institutional broker - dealer experience is a plus. Bachelor's degree required, with ... Description Compliance Manager Are you an experienced compliance professional ready...contract, temporary and permanent placement solutions for finance and accounting , technology, marketing and creative, legal, and administrative and… more
- Robert Half Finance & Accounting (Dallas, TX)
- …firm. * Responsible for the monthly net capital computation of the related Broker / Dealer , and the quarterly preparation of information needed for FINRA filings. ... looking for an experienced Controller to oversee and optimize accounting operations for our organization in Dallas, Texas. The...* Coordinate annual audit preparation with the related Broker / Dealer 's independent auditor. * Develop and maintain… more
- PNC (Pittsburgh, PA)
- …Authority). * Experience working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting , and Settlements. * ... contribute to the company's success. As a Business Analytics Manager Senior - Foreign Exchange within PNC's Investment Operations...The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will… more
- Charles Schwab (Lone Tree, CO)
- …principles and SEC regulatory requirements, including XBRL. + Relevant broker / dealer , banking, or other financial services accounting experience a plus. ... all audited financial statements for applicable subsidiary entities, including Schwab's broker - dealer , bank, and international subsidiaries. The SEC Reporting… more
- Charles Schwab (Westlake, TX)
- …skills. + Experience in finance and accounting , particularly in the bank and broker / dealer space. + Knowledge of or willingness to learn new technical skills ... be in the office 4 days a week. The ** Manager of Treasury Settlement Services** (TSS) is primarily responsible...settlement operations with third-party bank custodians in either a broker / dealer or banking environments. + Must possess… more
- JPMorgan Chase (Jersey City, NJ)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...shaping our control environment. As a Legal Entity Control Manager , you'll have the opportunity to collaborate with senior… more
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment Systems - ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and complexity with significant scope and impact focused on the firm's broker - dealer and investment advisory activities. Assesses risk within assigned internal ... **Job Summary:** The Senior Manager - Internal Audit role operates under general...especially those associated with the registered investment advisory and broker - dealer divisions * Knowledge and understanding of… more
- Lincoln Financial (Fort Wayne, IN)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... team is essential to maintaining the reliability and integrity of over 60 accounting and treasury systems and processes within the Corporate Finance organization. We… more
- Charles Schwab (Westlake, TX)
- …+ Basic knowledge of finance and accounting , particularly in the bank and broker - dealer space; + Good SQL and Excel Skills; + Experience with Tableau and/or ... planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios including the… more
- Lincoln Financial (Fort Wayne, IN)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... opportunity. **Requisition #:** 74752 **The Role at a Glance** The Senior Project Manager & Business Analyst - Corporate Finance you will provide leadership and… more
- Deloitte (Charlotte, NC)
- …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... Manager , Anti-Money Laundering Analytics About Deloitte Regulatory, Risk...Computer Science or Management Information Systems) and business (eg, Accounting , Business Administration, Economics, Mathematics, Finance, Management, Statistics) +… more
- Lincoln Financial (Sacramento, CA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Glance** We are excited to bring on an **Account Manager ** to our Retirement Plan Services business line to...employees, representatives and/or insurance agents do not provide tax, accounting or legal advice. Lincoln is committed to creating… more
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... We are on the lookout for a talented Audit Manager to join our Asset Management Internal Audit team....+ CPA, CIA, and/or Advanced Degree in Finance or Accounting is preferred JPMorganChase, one of the oldest financial… more
- JPMorgan Chase (Jersey City, NJ)
- …manner + Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities + Strong interpersonal and influencing ... We are on the lookout for a talented Audit Manager to join our Asset Wealth Management - Private...+ CPA, CIA, and/or Advanced Degree in Finance or Accounting is preferred JPMorganChase, one of the oldest financial… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …an alternative fund (eg, hedge fund, private equity fund, etc.) or another broker dealer 's alternative investment department ~or~ * Any equivalent combination of ... operations * Financial markets and products * General and Limited Partnership Accounting Principals * FINRA and SEC rules involving investor accreditation standards… more
- Deloitte (New York, NY)
- …experience in a financial services organization (preferably banking, capital markets, or broker - dealer ), regulatory agency, or consulting firm with evidence of ... Manager - FSI Risk, Regulatory & Forensic Our...and develop junior staff members + Bachelor's degree in Accounting , Finance, Business Management, Economics or related field +… more