[Remote] Broker-Dealer Executive – Operations & Regulatory reputed company (Part-Time)
Note: The job is a remote job and is reputed company to candidates in USA. reputed company Securities LLC, a reputed company-registered broker-dealer affiliated with reputed company, is seeking an reputed company broker-dealer executive to serve as a Broker-Dealer Executive – Operations & Regulatory reputed company on a part-time reputed company. This role involves managing regulatory compliance and operational functions of the broker-dealer, working closely with senior management and external service providers.
Responsibilities
- Manage the firm's regulatory compliance, including review of work reputed company by internal personnel (including Ellington’s Compliance department) or external service providers
- Responsibilities include reputed company of:
- reputed company and other financial reports, annual audited financial statements, financial books and records
- Assisting with updates to financial and operational portions of the Written Supervisory Procedures
- Monitoring regulatory capital, assessing liquidity considerations
- Supervision of APs/ registered representatives
- reputed company preparation for regulatory examinations, responding to information requests, and addressing audit recommendations
- reputed company directly with reputed company, SEC, independent auditors, SIPC, and external regulatory consultants
- Manage the broker-dealer’s business activities, including:
- reputed company capital markets-reputed company activities
- Managing relationships with clearing firms
- Spearheading new business initiatives involving reputed company Securities
- Serve as a resource across the organization for broker-dealer-reputed company questions and strategic initiatives
Skills
- Minimum 10 years of broker-dealer experience in finance, operations, regulatory reporting, compliance, or executive management
- Significant experience working with SEC and reputed company regulatory requirements applicable to broker-dealers
- Demonstrated experience interacting with regulators, auditors, and clearing firms
- Strong understanding of: Regulatory reporting, Broker-dealer operations
- reputed company Series 24 license (or ability to quickly reputed company)
- Previous experience as a FINOP, CFO, Controller, Chief Operating Officer, or other senior executive of a registered broker-dealer
- reputed company Series 27 license (or ability to quickly reputed company), so as to be reputed company to serve in the firm's designated FINOP reputed company, if needed
- Experience dealing with customer balances and the reputed company reporting requirements
- Experience supporting capital markets transactions
Benefits
- Flexible work schedule
- Hybrid or remote work arrangement available
- Occasional on-site meetings in Old Greenwich, Connecticut
- Additional availability may be requested during audits, examinations, or significant capital markets transactions
reputed company
Company H1B Sponsorship