field_job_employment_type

job_industry

field_job_occupational_field_parents_all

field_job_experience

job_organization_name

Siebert Williams Shank &amp; Co., LLC (“SWS” or the “Firm”) (a FINRA-registered broker/dealer) is seeking to add a motivated compliance professional to assist the Compliance team led by the Chief Compliance Officer. The successful candidate will support compliance efforts including but not limited to training, branch office exams, FINRA licensing and registrations, anti-money laundering supervision.SWS is a full-service investment banking and financial services company dual-headquartered in New York and Oakland. SWS is a perennial leader as a co-manager of investment-grade corporate debt, a national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned and successful share repurchase agent. All activities are supported by a robust secondary sales and trading platform, and a sound regulatory capital base. We are a SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB).Essential Duties and Responsibilities<ul><li>Update the Firm's Written Supervisory Procedures (WSPs) based on new rules and regulations and/or process enhancements</li><li>Prepare drafts of FINRA Form U4, U5, BR, and BD and various MSRB filings</li><li>Review and perform conflict checks on employee certifications, personal account disclosure and pre-clearance forms, reported outside business activities and private investments</li><li>Review and present for CCO approval political contribution requests, sponsorship requests, bond ballot contributions, and quarterly MSRB G-37 filing</li><li>Onboard new employees</li><li>Support AML reviews / KYC processes on customers</li><li>Conduct needs analysis &amp; deliver Firm Element CE &amp; ACM</li><li>Assist the COO in responding to regulatory exams, investigations and inquiries conducted by FINRA, SEC, GSE and state regulators</li><li>Perform ad hoc projects</li></ul>Qualifications<ul><li>Bachelor's Degree</li><li>SIE, Series 7 licenses required</li><li>At least 3 years of compliance experience (broker-dealer preferred)</li><li>Experience with fixed income products (notably municipal, corporate, government, and agency bonds) and equity securities</li><li>Solid knowledge of the financial industry and understanding of FINRA, MSRB and SEC rules</li><li>Proficiency in Microsoft Office applications (especially Excel)</li><li>Excellent analytical, reasoning, problem-solving, verbal, written and interpersonal communication skills</li><li>Ability to multi-task, meet deadlines and handle multiple projects/priorities</li><li>Ability to work well independently as well as collaboratively.</li><li>Strong desire to learn and deliver results</li></ul>We are Committed to Fair Pay. At SWS, we are committed to fair, transparent pay and strive to provide competitive, market-informed compensation. The target total fixed compensation range for this position is $90,000 - $125,000. Compensation for the successful candidate will be determined by the candidate’s particular combination of knowledge, skills, competencies and experience. This position is also eligible for a discretionary bonus.SWS empowers talented and highly motivated individuals to thrive independently and collectively. We offer a competitive compensation package, an inclusive working environment and exceptional employee benefits. Our benefit program is designed to provide employees and their dependents with support in maintaining health and financial protection.Siebert Williams Shank &amp; Co., LLC is an Equal Opportunity Employer: EOE/M/F/V/D committed to a diverse workforce. We welcome and value the people and concepts that move our firm, our industry, and our communities forward. All qualified applicants will receive consideration for employment without regard to sex, gender identity, sexual orientation, race, color, religion, national origin, disability, protected Veteran status, age or any other characteristic protected by law.

Broker/Dealer Compliance Associate

Siebert Williams Shank &amp; Co., LLC (“SWS” or the “Firm”) is conducting a search for an experienced Investment Banking Analyst and Associate to join its Infrastructure and Public team and work hybrid (4 days in-office) from its Chicago, New York or Washington, DC offices. Investment Banking Analysts and Associates provide analytical and quantitative support and generally assist more experienced junior bankers, as well as senior bankers, to provide investment banking services to clients in the public sector. At SWS, all bankers are an integral part of the financing team, assume a high level of responsibility, and actively participate in all aspects of transactions.SWS is a full-service investment banking and financial services company dual-headquartered in New York and Oakland. SWS is a perennial leader as a co-manager of investment-grade corporate debt, a national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned and successful share repurchase agent. All activities are supported by a robust secondary sales and trading platform, and a sound regulatory capital base. We are a SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB).Our diverse professionals are not only committed to providing the highest level of value-added services to our clients but also committed to improving the communities in which we work and live. We have a 25+ year track record built on integrity, experience and results.Primary Responsibilities:<ul><li>Work alongside senior staff in preparing proposals and/or coordinating responses; draft client presentation materials and memos discussing financing strategies, market trends, firm qualifications, etc.</li><li>Prepare graphical representations or various debt statistics</li><li>Compile municipal issuers’ historical financial information from public documents</li><li>Prepare and maintain databases on client debt</li><li>Analyze historical debt issuance and debt affordability</li><li>Performing financial modeling and cash flow analyses to evaluate debt financing alternatives</li><li>Participating in active transactions</li><li>Participate in presentations to clients, as needed</li><li>Format, print and bind of professional-looking documents for meetings</li><li>Ensure that all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures</li></ul>Qualifications:<ul><li>B.S. or B.A. in finance, economics, public administration or related fields is preferred</li><li>SIE, Series 52 &amp; 63 licenses required</li><li>Relevant experience working in the public finance sector and/or familiarity with municipal debt instruments are extremely strong positives</li><li>Excellent analytical and quantitative skills are a must and a good understanding of financial markets is expected</li><li>Advanced user of Microsoft Excel, PowerPoint, and Word</li><li>Ability to use Bloomberg and other finance industry statistical and structuring tools (WhatsBest!, DBC Finance and SDC); the ability to multitask efficiently across all these software platforms with prompt turnovers to bankers and clients is essential</li><li>Highly self-motivated, well-organized, and willing to work long hours when needed</li><li>Ability to prioritize tasks, react to changes, solve critical issues, and work independently while being team-oriented</li><li>Demonstrated attention to detail with the highest standards of diligence in work product are essential to success</li><li>Strong written and verbal communication skills and professional presence with clients are required</li></ul>We are Committed to Fair Pay. At SWS, we are committed to fair, transparent pay and strive to provide competitive, market-informed compensation. The target total fixed compensation range for these positions is $100,000 - $160,000. Compensation for the successful candidate will be determined by the candidate’s particular combination of knowledge, skills, competencies and experience. This position is also eligible for a discretionary bonus.SWS empowers talented and highly motivated individuals to thrive independently and collectively. We offer a competitive compensation package, an inclusive working environment and exceptional employee benefits. Our benefit program is designed to provide employees and their dependents with support in maintaining health and financial protection.Siebert Williams Shank &amp; Co., LLC is an Equal Opportunity Employer: EOE/M/F/V/D committed to a diverse workforce. We welcome and value the people and concepts that move our firm, our industry, and our communities forward. All qualified applicants will receive consideration for employment without regard to sex, gender identity, sexual orientation, race, color, religion, national origin, disability, protected Veteran status, age or any other characteristic protected by law.

Infrastructure and Public Finance - Investment Banking Analyst

You Lead the Way. We’ve Got Your Back.With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you’ll learn and grow as we help you create a career journey that’s unique and meaningful to you with benefits, programs, and flexibility that support you personally and professionally.At American Express, you’ll be recognized for your contributions, leadership, and impact—every colleague has the opportunity to share in the company’s success. Together, we’ll win as a team, striving to uphold our company values and powerful backing promise to provide the world’s best customer experience every day. And we’ll do it with the utmost integrity, and in an environment where everyone is seen, heard and feels like they belong.Join Team Amex and let's lead the way together.Our industry is rapidly evolving, and we need courageous, quick thinkers who can shape the strategic decisions that lead our business forward. Whether it’s negotiating with some of our largest global partners or creating next year’s financial plan, you can influence both our day-to-day P&amp;L and the future direction of the company. As part of the team, you can have the opportunity to learn and use the latest data tools and technologies and explore a range of roles to grow your career. Find your place in finance on #TeamAmex.How will you make an impact in this role?As part of US Consumer Services Controllership, this role is responsible for providing accounting, reporting, and advisory support for partner deals, new or refreshed product offerings and key business initiatives within the US Consumer Segment with particular focus on Membership Services.&nbsp; This individual will also be responsible for providing oversight of the Segment Financial Statements through effective accounting and financial consultation and design, balance sheet oversight of key assets and liabilities, and partnering with the Control Management and SOX teams to ensure a robust control environment.&nbsp; A general understanding of loyalty/benefits programs, including Travel &amp; Lifestyle Services, card economics, business drivers as well as knowledge of American Express financial systems, internal controls and overall business acumen will be key factors to success within the role.&nbsp;Primary responsibilities will include, but are not limited to:<ul><li>Providing accounting advisory to the Business and Finance teams </li><li>Reviewing financial terms in third party contracts</li><li>Researching and documenting relevant accounting guidance (i.e., GAAP)</li><li>Consulting on and, when necessary, designing operational accounting and reporting processes as well as related controls</li><li>Oversight of key drivers of the segment financials</li><li>Support of Monthly/Quarterly reporting, including ad hoc analysis and other reporting requirements </li><li>Building and maintaining strong relationships with key Business and Finance partners including counterparts within the broader Controllership organization.</li></ul>Minimum Qualifications:<ul><li>Bachelor’s degree in accounting or finance</li><li>Strong ability to interpret GAAP accounting guidance including the ability to form and communicate clear and concise accounting conclusions</li><li>Strong analytical and problem-solving skills</li><li>Strong communication and relationship skills; effectively navigate through a matrix-based organization</li><li>Strong process improvement, project management and implementation experience</li><li>Ability to process information quickly to identify issues and areas for follow-up</li></ul>Preferred Qualifications:&nbsp;<ul><li>CPA/MBA preferred</li><li>5+ years of cumulative accounting or finance experience preferred</li></ul>Salary Range: $80,000.00 to $155,000.00 annually + bonus + benefitsThe above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we’ll consider your location, experience, and other job-related factors.We back our colleagues and their loved ones with benefits and programs that support their holistic well-being. That means we prioritize their physical, financial, and mental health through each stage of life. Benefits include:<ul><li>Competitive base salaries&nbsp;</li><li>Bonus incentives&nbsp;</li><li>6% Company Match on retirement savings plan&nbsp;</li><li>Free financial coaching and financial well-being support&nbsp;</li><li>Comprehensive medical, dental, vision, life insurance, and disability benefits&nbsp;</li><li>Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need&nbsp;</li><li>20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy&nbsp;</li><li>Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)&nbsp;</li><li>Free and confidential counseling support through our Healthy Minds program&nbsp;</li><li>Career development and training opportunities</li></ul>For a full list of Team Amex benefits, visit our Colleague Benefits Site.American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions.We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually.US Job Seekers/Employees - Click here to view the “Know Your Rights” poster and the&nbsp;Pay Transparency Policy Statement.If the links do not work, please copy and paste the following URLs in a new browser window:&nbsp;<a href="https://www.dol.gov/agencies/ofccp/posters&nbsp;to" target="_blank">https://www.dol.gov/agencies/ofccp/posters&nbsp;to</a> access the three posters.Employment eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions.

4 Controlling / Finance Jobs in New York, NY, USA