- Siebert Williams Shank (New York, NY)
- …trading platform, and a sound regulatory capital base. We are a SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker /dealer) is seeking to add a motivated compliance professional...(FINRA) and the Municipal Securities Rulemaking Board (MSRB). Essential Duties and Responsibilities +… more
- Tradeweb (Jersey City, NJ)
- …Accounting department. The ideal candidate will have extensive knowledge of broker dealer operations, securities regulations, and financial reporting standards. ... from Dealerweb management team **Qualifications** + 5+ years of experience in securities accounting and/or broker dealer operations within the financial services… more
- SMBC (New York, NY)
- …traded products. SMBC Nikko Securities America, Inc. is a SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...broker dealer businesses including derivatives, FX, repo and securities lending. As part of the first line of… more
- M&T Bank (Baltimore, MD)
- …team on risk and control topics impacting the Institutional Broker -Dealer, Corporate Securities Underwriting, and Syndications/ Participations. **Primary ... defense risk management responsibilities of the Investment Bank and Institutional Broker -Dealer in accordance with the Enterprise Risk Framework. Oversee the… more
- Capital One (Mclean, VA)
- …We are seeking a highly motivated Accounting Manager to support Capital One Securities , a broker dealer registered with the Financial Industry Regulatory ... Authority (FINRA) and the Securities Exchange Commission (SEC). Candidates should be self-starters responsible for managing a team of accounting professionals,… more
- SMBC (Jersey City, NJ)
- …of the Compliance Monitoring and Testing team to perform testing of its broker /dealer (SMBC Nikko Securities America, INC). The Vice President is responsible ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Raymond James Financial, Inc. (NY)
- …Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker /dealer compliance and/or branch exams + Rules and ... and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …management/ brokerage industry. + Advanced principles of banking and finance and securities broker /dealer operations. + Advanced concepts and regulations related ... **Work Experience** General Experience - 10 to 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority… more
- Siebert Williams Shank (Chicago, IL)
- …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… more
- Siebert Williams Shank (New York, NY)
- …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… more
- Manulife (Boston, MA)
- …experience. + The candidate must have extensive knowledge and understanding of broker dealer securities regulation (investment adviser/investment company a plus) ... Hancock Personal Financial Services, LLC ("JHPFS"). JHD and JHIMD are wholesale broker dealers that underwrite and distribute several John Hancock securities … more
- SMBC (New York, NY)
- …and trust worthiness of data. This role will support both SMBC Nikko Securities America, Inc. ( Broker -Dealer) and SMBC Capital Markets, Inc. (Swap Dealer). ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …management/ brokerage industry. * Advanced principles of banking and finance and securities broker /dealer operations. * Advanced concepts and regulations related ... to wealth management and financial planning. **Skill in** * Excellent problem solving skills to identify the needs of clients through effective questioning and listening. * The ability to research issues and confidently help advisors think through clients'… more
- Charles Schwab (Westlake, TX)
- …of broker -dealer and investment advisor industry regulatory practices and securities rules. + Familiarity with Broker Dealer operations, including ... RLO team is primarily responsible for Schwab's engagement with its securities /commodities regulators, including the SEC, FINRA, CFTC, NFA, international and state… more
- Citizens (New York, NY)
- Description Citizens JMP Securities , Inc., Citizens Institutional Broker -Dealer, is seeking a Broker -Dealer Credit Risk Operations Associate to assist with ... Non-Bank Financial Institutions, including Insurance Companies, Broker -Dealers, Investment Managers, Hedge Funds, Mutual Fund Families, and others. In this role, you… more
- Principal Financial Group (Des Moines, IA)
- …You will also provide day-to-day support to Principal's dually-registered retail broker -dealer and investment adviser, Principal Securities . In this role, ... join our legal team to lead regulatory examinations, and to assist our retail broker -dealer with its legal needs. This attorney will partner with the business units,… more
- State of Indiana (Indianapolis, IN)
- …State Securities Division investigates suspected violations of the Indiana Uniform Securities Act, Indiana Loan Broker Act, and the Indiana Commodities Code. ... State. Present duties include chartering of new business, regulation of the securities industry, oversight of state elections, commissioning of notaries public, and… more
- SMBC (New York, NY)
- …in US securities and swaps laws, rules and regulations and broker and swap dealer operations. + Ability to communicate this knowledge and applicability. ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- JPMorgan Chase (New York, NY)
- …and contribute to the definition and financial performance of cash capabilities within Securities Services at one of the world's leading custodians. As a Cash ... of cash products for clients and markets supported by Securities Services, with a focus on the Americas. You...* Excellent problem-solving skills, with the ability to quickly broker solutions and resolve conflict situations. * Ability to… more
- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker -Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker -Dealer funding, ... requirements within the Treasury organization. **Team Description:** The Global Broker -Dealer Legal Entity Treasury team within the Global Treasury organization,… more