Manager / Senior Manager - Securities Broker-Dealer Job at RIT Solutions, Inc., New York, NY

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  • RIT Solutions, Inc.
  • New York, NY

Job Description

Job Title: Manager / Senior Manager - Securities Broker-Dealer

Location: 3 days in NYC, NY

3+ Months

Overview:
We are seeking a Manager/Senior Manager with strong broker-dealer regulatory controls and accounting expertise. The ideal candidate will bring hands-on experience with SEC broker-dealer compliance requirements and a solid background in broker-dealer accounting, ideally from an audit or regulatory perspective.

Key Responsibilities:
  • Lead and oversee broker-dealer regulatory controls, ensuring compliance with applicable SEC and Client requirements.
  • Manage and review broker-dealer accounting processes, including securities lending.
  • Apply in-depth knowledge of SEC Rules 15c3-1 (Net Capital Rule) and 15c3-3 (Customer Protection Rule).
  • Partner with cross-functional teams to strengthen internal controls and address regulatory requirements.
  • Provide subject matter expertise on broker-dealer accounting and operational processes.
Qualifications:
  • 7-12 years of experience in broker-dealer regulatory controls and accounting (audit experience a plus).
  • Strong expertise in 15c3-1 and 15c3-3 controls.
  • Solid understanding of broker-dealer accounting, including securities lending .
  • CPA or relevant regulatory/financial certification preferred.
  • Excellent communication and leadership skills.

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