- Clear Street (New York, NY)
- …teams. Responsibilities: Prepare daily 15c3-1 net capital computation for two US broker -dealers (BD) and a securities-based swap dealer (SBSD). Weekly and ... the essentials to compete in today's fast-paced markets. The Role: The Director , Regulatory Reporting will be responsible for overseeing the end-to-end regulatory… more
- Robert Half Finance & Accounting (New York, NY)
- Description Robert Half Financial Services are currently recruiting for an Associate Director of Compliance role for a $100+bn AUM Global Investment firm based ... New York. Our client requires 8+ years Investment and Broker Dealer Compliance experience within a Registered...or 14 Licenses are advantageous. + Bachelor Degree. The Associate Director of Compliance role requires 3… more
- Wells Fargo (New York, NY)
- …and initiatives; and banking for private wealth clients + Advise on bank and broker dealer regulatory requirements applicable to banking and lending activities + ... **About this role:** Wells Fargo is seeking an Associate General Counsel, Executive Director in...Experience as a practicing attorney with securities-based bank and broker dealer lending products; custom and mortgage… more