BROKER DEALER COMPLIANCE ASSISTANT jobs in NEW YORK CITY NY, United Kingdom

a team in reviewing all marketing materials and client communications generated by iCapital's FINRA registered broker dealer... authorities. Qualifications 5-8 years of experience, preferably with both broker dealer and registered investment advisor...

iCapital

-dealer operations. The successful candidate will have a strong background in financial services accounting, broker-dealer... monthly, quarterly, and year-end close processes of the broker dealer entity and associated subsidiary entities (acquired...

YieldStreet