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Exciting role with an expanding Broker-Dealer
Opportunity to oversee all aspects of the New York Office
About Our Client
The Organization are a independent Broker-Dealer which specialize in a range of products including Cash Equity, ETF's, Equity Derivates, FX, Fixed Income and Commodities, with the New York Office the most recent, opening in November 2016.
My client is seeking to hire a full time General Manager for the New York office. They are seeking a smart, organized, and detail-oriented individual who is interested in managing the growth of the new office, with a focus on Legal & Compliance.
- Manage the day-to-day operation of the firm's New York office;
- Oversee the management of the office, including the brokers and new hires
- Liaise with and oversee Compliance, Operations, Finance, HR and the regulators (FINRA, NFA, state regulators and SEC)
- Perform general administrative duties when needed
- Work on and manage specialized projects as necessary for the continued growth of the business
The Successful Applicant
- Bachelor degree;
- Financial qualifications - Series 7, 3, 4 and 24 are required, consideration will be given to candidates who do not have Series 4 or Series 3 but would be willing to take these.
- Experience of working at a Brokerage firm with some Legal and Compliance experience essential.
- Experience of working with FINRA, NFA and SEC
- Strong written and oral communication skills;
- Ability to work independently in a fast-paced, dynamic environment;
- Strong organizational and leadership skills;
- Experience managing brokers
What's on Offer
Competitive Salary + Bonus + Benefits + 401k