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DIRECTOR, BROKER DEALER CONTROLLER

Manages relationships with regulators, including FINRA/SEC/CME/NFA/OCC.. Manages the annual audit process with external auditor. Ensures a strong control environment and compliance with 17a-5 program.. Develops a high functioning...

CompanyYork State Department Of Labor
AddressNew York, NY
CategoryAccounting/Finance
Date Posted a week ago See detail

Director, Broker Dealer Controller

York State Department Of Labor

New York, NY

Manages relationships with regulators, including FINRA/SEC/CME/NFA/OCC.. Manages the annual audit process with external auditor. Ensures a strong control environment and compliance with 17a-5 program.. Develops a high functioning...

a week ago seen See more...

Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

Lakeland, FL

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Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

Orlando, FL

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Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

West Palm Beach, FL

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Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

Jacksonville, FL

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Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

Miami, FL

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Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

Fort Lauderdale, FL

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Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

Tampa, FL

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Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

Tallahassee, FL

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What are the top cities open Contract Broker Dealer jobs?

There are open Contract Broker Dealer jobs in several cities including New York, Dallas, Fresno, Austin, Minneapolis, Pittsburgh, Whippany, Malvern, Des Moines, Indianapolis, Lorida, Denver, San Francisco, Salt Lake City, Orlando,

What companies are hiring for Contract Broker Dealer jobs?

The top companies hiring now for Contract Broker Dealer jobs are Barclays, BNY Mellon, Compliance Exchange Group, Cxg Holdings Inc, Principal Financial Group, Wealthfront,

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