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- ...Broker Dealer Compliance Advisory- Equities & Options Are you ready to apply Make sure you understand all the responsibilities and... ...trading, markets, or other front-office businesses • Strong knowledge of the U.S. financial-services regulatory environment • Ability...Suggested
Dynamics Executive Search
New York, NY9 days ago - ...We're Hiring – Broker Dealer Operations professionals – all levels - Associate up to Manager! Location: Chicago, IL (Hybrid) To... ...focus around securities and options. Series 7 required. Knowledge of Regulation T, FINRA Rule 4210, SEC Rule 15c3-3, and 15c3-1,...SuggestedWork experience placementWork at office
Phillip Capital Inc.
Chicago, IL6 days ago - ...Job Description Job Description Independent Sales Broker – Construction Implements (Nationwide Dealer Expansion) Company Bear... ...and assigned retail partners Support dealers with product knowledge, positioning, and reorder strategies Provide market feedback...SuggestedFor contractors
Bear Iron Works Ltd
Grand Junction, CO2 days ago - ...strategic management of F&G’s annuity business across key Bank and Broker Dealer distribution partners. This role develops and... ...talent, and supporting engagement and team effectiveness. Knowledge, Skills & Abilities Profit-driven Exceptional interpersonal...SuggestedWork at officeRemote workFlexible hours
- ...decisions.Prepare required reports.Logistics and Execution:Support or lead logistics planning and execution, applying foundational knowledge of truck and rail transportation and commodity arbitrage.Understand the systems and procedures used to document and support trade...SuggestedFull timeLocal areaImmediate startShift work
Nutreco
Friona, TX1 day ago - ...is the place to be. Job Summary: As a Commodity Trader specializing in building materials, you will leverage your market knowledge and analytical skills to manage and optimize the purchasing and selling of building materials. You will be responsible for developing...SuggestedTemporary workImmediate start
Tri State Forest Products
Perrysburg, OH3 days ago - ...Our client is a global bank. They seek a Director, Broker Dealer Controller to join their Jersey City, NJ office. Increase your chances... ...management, and retail banking ~ In-depth experience and knowledge of IFRS and GAAP accounting requirements ~ Strong...SuggestedWork at office
Abacus Group, LLC
Jersey City, NJ11 days ago $150k - $175k
...~ Dental insurance ~ Parental leave ~ Vision insurance Broker-Dealer CEO Location: Smithtown, NY (In-Person) Employment... ...Director, or equivalent executive position. ~ Strong knowledge of FINRA, SEC, AML, and broker-dealer regulations. ~ Experience...SuggestedFull timeWork at officeFlexible hoursCXG Holdings Inc
Smithtown, NY18 days ago$150k - $200k
...compensated for your contributions within the firm. Participate in formal education on quantitative concepts to build your trading knowledge. Lead market-making and execution across commodity options products, guiding pricing, risk parameters, and strategic direction....SuggestedFull timeBelvedere Trading
Chicago, IL2 days ago$100k - $110k
...motivated, detail oriented individual to work at a growing U.S. broker-dealer subsidiary of a global financial services group based... ...institutions ~ Bachelors or Masters in Accounting ~ US GAAP knowledge ~ Proficiency in Microsoft Office ~ Strong analytical and problem...SuggestedExtra incomeWork at officeBBVA
New York, NY11 days ago- ...Senior Director / Executive Director of Operations to lead the U.S. Broker-Dealer Operations function. You will oversee daily operations... ...years self-clearing broker-dealer experience, deep regulatory knowledge, and strong collaboration with Wealth Management, Retail,...Suggested
- ...our strength and resilience. As a Vice President in the Banks & Broker Dealers team, you'll manage exposure to a diverse client base,... ...experience within financial services. Credit/Market Risk experience. Knowledge of financial institutions, including banks and broker dealers....Suggested
$90k - $135k
...specifically dedicated to supporting the Chief AML Officer covering the Broker-Dealer (BD) Securities Division. In this role, the AML Advisory... ...135,000 (Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and...Suggested- ...-cycle experience, including booking trades Previous experience working with traders or Portfolio Managers preferred Strong knowledge xhyhwjd of both Fixed Income and Equity markets Team player who can work under pressure and deliver within a fast-paced environment...SuggestedWork at office
Green Key Resources
New York, NY11 days ago - ...the Head of Pershing Treasury, lead ALM matters relating to the broker‑dealer balance sheet monitoring and explaining changes and... ...expertise in liquidity/funding and broker‑dealer activities Advanced knowledge of both broker‑dealer capital, liquidity, funding and...SuggestedFlexible hours
- ...must be able to perform each essential duty satisfactorily. Additionally, the qualifications listed below are representative of the knowledge, skills, and/or abilities required in this position: High school diploma or GED with some college preferred and at least 2...Full time
First Horizon Bank
Raleigh, NC14 days ago - ...Head of Broker Dealer Operations About the Company Wealth management firm and broker-dealer in Brickell Industry Financial... ...processes. Experience in a FINRA-regulated environment, knowledge of operational controls, regulatory recordkeeping, and risk management...
$150k - $185k
...information visit ( Purpose of Role: Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options)... ...on Equities and Listed Options trading activities, as well as knowledge of various regulatory reporting requirements. Such guidance is...Full timeImmediate startMarex
New York, NYa month ago- ...Supervision. \n Participate in special projects, regulatory examinations, audits, and internal reviews as assigned. \n Maintain knowledge of applicable regulatory requirements, industry developments, Firm policies, and supervisory procedures. \n Build key...Work at office
Insigneo
Miami, FL15 days ago $19 - $24 per hour
...reputation is built on exceptional execution and results in the retail and foodservice channels. While we welcome people with industry knowledge, there is no prior industry experience required for this position. If you love food, learning, new challenges and are a people...Hourly payPermanent employmentFlexible hoursAffinity Group
Brockton, MA4 days ago- ...preserve and grow client wealth through tailored strategies. As a Broker /Dealer member of FINRA and SIPC, Galicia Capital US, LLC... ...field. ~3+ years of broker-dealer operations experience. ~ Knowledge of securities and fixed income operations and trade lifecycle processes...Temporary work
Galicia Capital
Miami, FL25 days ago - ...preserve and grow client wealth through tailored strategies. As a Broker /Dealer member of FINRA and SIPC, Galicia Capital US, LLC... ...Candidates should possess solid Analytical Skills and Finance knowledge to interpret regulations, analyze data, and assess risk within...Full timeTemporary work
Galicia Capital
Miami, FL10 days ago $290k - $335k
...significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with... ...between Marex and regulatory bodies. Role Summary The Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that...Full timeWorldwideMarex
New York, NY27 days ago$180k - $250k
...Lead broker-dealer operations and infrastructure Drive controls, automation, and operational excellence About Our Client Wealth... ...Experience working within a FINRA-regulated environment. Knowledge of operational controls, regulatory recordkeeping, and risk management...Full timeMiami, FL15 days ago- ...Senior Director, National Accounts for the Broker Dealer Channel Financial Advisor Services (FAS) is the largest and fastest-growing... ...developments. Utilizes this experience, along with product knowledge to be a trusted advisor to client and prospective clients, and...Work experience placementHome office
- ...Qualifications Education & Experience Requirements/Competencies: High School Diploma/GED Preferred qualification: Knowledge of manufacturing processes and procedures. Locomotive Operation and Rail Switching Conductor Level 1 Hazardous Materials...Local areaFlexible hoursShift workNight shift
Louis Dreyfus Company
Grand Junction, IA25 days ago - ...OSHA, EPA, Department of Ag, etc. Qualifications: § 1+ years’ manufacturing experience in feed/food/chemical processing plant knowledge preferred. § Proven leadership skills with the ability to train, coach, motivate and manage performance of team members. §...Temporary workFor contractorsLocal areaFlexible hoursShift work
Norfolk Crush
Norfolk, NEmore than 2 months ago - ...qualification: Technical degree Experience Basic qualifications: ~4 years of experience in an industrial environment Knowledge/Skills/Abilities (including any physical demands) Basic qualifications: Experience in the operation of skid loaders, front-...Local areaRemote workFlexible hoursShift workNight shift
Louis Dreyfus Company
Upper Sandusky, OHa month ago - ...fertilizer products while maintaining strong relationships with suppliers and customers. The ideal candidate will have deep industry knowledge, a robust network, and the ability to analyze market trends to maximize profitability. Key Responsibilities Trading:...Work at office
Interoceanic
White Plains, NYa month ago - ...JetZen is seeking an experienced Private Aviation Charter Broker to join our growing team. this individual must be a self-starter with extensive knowledge in the private jet charter industry. This position will be compensated with a base salary and a competitive commission...
JetZen
Fort Lauderdale, FL1 day ago
