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Digest #1215
Message
Mon Oct 28, 2013 12:33 pm (PDT) . Posted by:
"john sampson" jcsspike
A major Broker Dealer located in NYC is looking for a Director of Broker Dealer
Operations either in their NYC or Stanford offices. The ideal candidate must
have the Series 99 or be required to sit for the examination unless they have
an exempt registration.
Responsibilities:
Will be responsible for all Broker Dealer Operations either from the NYC or
Stanford, Connecticut office.
Experience Required: ( Will be responsible to oversee the following functions).
Regulatory oversight of Broker-Dealer Operations
Internal and External audit coordination
Bluesheet operations ownership
Regulatory oversight for Operations Function
Perform functional assessments to ensure Regulatory Compliance
Daily confirm regulation (15a6) and Quarterly cycle count (17a-13)
Experience Required:
Bachelors degree with a major in Accounting or Finance
Must have strong Broker Dealer operations background
Must have Bluesheet Asset Management experience
Series 99 or 7 preferred and Series 14 a plus
Candidates with an Operations/Compliance Background will be considered
A full job spec is available upon request
Salary Range 225k to 250k plus a bonus next year.
Anyone interested should send their resume to Tony Savoca at asavoca@juno.com
and then call him at 718-979-6518.
Nov 5th - Dinner mtg - Totowa - Abby Kohut - LinkedIn
Operations either in their NYC or Stanford offices. The ideal candidate must
have the Series 99 or be required to sit for the examination unless they have
an exempt registration.
Responsibilities:
Will be responsible for all Broker Dealer Operations either from the NYC or
Stanford, Connecticut office.
Experience Required: ( Will be responsible to oversee the following functions).
Regulatory oversight of Broker-Dealer Operations
Internal and External audit coordination
Bluesheet operations ownership
Regulatory oversight for Operations Function
Perform functional assessments to ensure Regulatory Compliance
Daily confirm regulation (15a6) and Quarterly cycle count (17a-13)
Experience Required:
Bachelors degree with a major in Accounting or Finance
Must have strong Broker Dealer operations background
Must have Bluesheet Asset Management experience
Series 99 or 7 preferred and Series 14 a plus
Candidates with an Operations/Complian
A full job spec is available upon request
Salary Range 225k to 250k plus a bonus next year.
Anyone interested should send their resume to Tony Savoca at asavoca@juno.
and then call him at 718-979-6518.
Nov 5th - Dinner mtg - Totowa - Abby Kohut - LinkedIn
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