- 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 ... Manager, Broker Dealer Accounting Does the idea of working...Authority (FINRA) and the Securities Exchange Commission (SEC). Candidates should be self-starters responsible… more
- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities , Inc. (HSI) Broker Dealer Operations Analyst 3 is responsible for supporting institutional broker dealer ... In this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you may… more
- Marex (New York, NY)
- …work environment. Skills and Experience + Fifteen (15+) plus years of securities advisory experience. Knowledge of broker -dealer activities and requirements. + ... Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed… more
- SMBC (New York, NY)
- …traded products. SMBC Nikko Securities America, Inc. is an 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
- SMBC (Jersey City, NJ)
- …financial reporting process and related internal control framework + Knowledge of securities broker dealer business, financial products and regulatory reporting ... NJ. This position will be responsible for SMBC Nikko Securities America, Inc, a registered broker dealer, which provides intvestment securities and other… more
- SMBC (New York, NY)
- …compliance experience at a broker dealer. + A solid foundation in US securities laws and regulations and broker dealer operations, products and services. + ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the… 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
- PNC (Pittsburgh, PA)
- …can sit in Pittsburgh, PA. The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will require the ability to ... * Experience working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting, and Settlements. * Broad knowledge and… more
- Raymond James Financial, Inc. (New York, 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
- 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
- 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
- Guardian Life (New York, NY)
- …portfolio of individual life and annuity insurance products. Park Avenue Securities is Guardian's broker -dealer and corporate Registered Investment Advisor ... Park Avenue Securities was founded in 1999 as a complement...several responsibilities, working with the rest of Park Avenue Securities , Advisors, General Agents and Sponsor Partners + Able… more
- US Bank (New York, NY)
- …and/or as in-house counsel supporting capital markets products + Experience with securities laws and broker -dealer regulatory matters + Experience with corporate ... corporate and municipal bond sales, trading, and origination, asset-backed securities and CLOs, interest rate derivatives, commodity derivatives, foreign exchange,… more
- SMBC (Charlotte, NC)
- …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
- M&T Bank (Boston, MA)
- **Overview:** M&T Securities , Inc. is the institutional broker -dealer affiliate of M&T Bank. As a member of our Compliance team, you will serve an important role ... culture of ethical conduct and commitment to compliance with securities regulation. You will have the opportunity to play...FINRA, SEC, and other SRO rules as applicable to broker -dealer activities. + Assist in review of controls in… more
- NVR (Reston, VA)
- …NVR's Corporate Headquarters in Reston, Virginia. Primary Responsibilities: . Trade Mortgage-Backed- Securities (MBS) with various broker dealers and foster ... liquidity for the firm . Trade MBS Derivative (TBA) securities to hedge interest rate risk on the $2bn+...accuracy of loan sale proceeds as well as Mortgage-Backed Securities (MBS) trades . Ensure NVR's hedging reporting accuracy… more
- Lincoln Financial (Fort Wayne, IN)
- …at a Glance This position will perform legal work on a broad range of US securities and corporate law matters, with an emphasis on aspects of work related to proxy ... 10-K/10-Q, current reports on Form 8-K and Section 16 reporting obligations; securities offerings under the 1933 Act; earnings releases and related materials; equity… more
- City National Bank (Los Angeles, CA)
- …all new account documents, account transfers (acats), DTC delivery of securities , money movements including cash disbursements and deposits, wires, IRA ... apprised of significant client issues and potential problems. *City National Securities Brokerage Account Administration* * Establish new accounts opened in CNS… more
- MUFG (New York, NY)
- …team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management ... the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Principal Financial Group (Des Moines, IA)
- …seeking an accomplished leader to oversee our Individual Solutions RIA and Broker -Dealer Supervisory Program. This high-impact role reports directly to the President ... Advisory Services with a matrixed relationship to the President of Principal Securities . In partnership with the firm's Chief Compliance Officer, you will define,… more