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- ...seasoned supervisory professional to serve as Managing Director of Broker-Dealer Supervision. This senior leader owns the design,... ...plus given options and equities business lines ~ Deep working knowledge of FINRA Rule 3110, 3120, 3130, and related supervisory obligations...SuggestedTemporary workRemote work
NewEdge Capital Group LLC
Fort Lauderdale, FL4 days ago - # Managing Director, Broker-Dealer (U.S)EquitonManaging DirectorReal EstateReal EstateOn-siteLocationDallas, United StatesDate PostedJuly... ...-dealer leadership experience with deep FINRA/SEC regulatory knowledge- Practical experience raising capital for private real estate...SuggestedRelocation
InforCapital
Dallas, TX19 hours ago $98.78k - $121k
...about our Total Rewards philosophy . About the Role: The Broker-Dealer Operations Associate will be a vital member of the team,... ...daily, monthly, and quarterly operational cycles. ~ Strong knowledge of cash and securities handling, settlement processes, and regulatory...SuggestedDaily paidFull timeWork at officeLocal area2 days per week3 days per weekGusto
New York, NY19 hours ago$120.8k - $137.9k
...Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer) About the Role We are seeking a highly analytical and investigative... ...ideal candidate will bring strong product and market-conduct knowledge across exchange-traded futures and commodities markets....SuggestedFull timePart timeLocal areaCapital One Financial Corp
McLean, VA2 days ago- ...Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer)We are seeking a highly analytical and investigative Trade Surveillance... ...ideal candidate will bring strong product and market-conduct knowledge across exchange-traded futures and commodities markets....Suggested
Capital One
McLean, VA2 days ago - ...Compliance, Legal, Risk, and Ops on regulatory interpretation You have: 5+ years in U.S. broker-dealer regulatory reporting Hands-on FOCUS, NLA, and 15c3-1/15c3-3 experience CFTC reporting knowledge; IFRS/US GAAP fluency UK or cross-border reporting experience a plus VP/Director...Suggested
- ...00 2 days ago Director of Trader Marketing Programs and Community New York, United States $151,100.00-$277,000.00 1 day ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr...SuggestedFull time
Alexander Chapman
New York, NY2 days ago $97.9k - $146.8k
...Mutual of America Financial Group Job Title: Lead Compliance, Broker / Dealer Location: Boca Raton, FL (hybrid) or New York, NY... ...Required Qualifications: ~ Bachelor’s degree ~ Knowledge of FINRA and SEC rules applicable to broker/dealers ~ FINRA Series...SuggestedWork at officeMutual of America Life Insurance Company
New York, NY18 days 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, OH1 day 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 time$150k
...This role will cover the Arizona market and the Independent Broker Dealer (IBD) channel. Responsibilities Maximize territory... ...perspective and a consultative sales approach. Maintain comprehensive knowledge of PIMCO’s products, platforms, themes, initiatives, markets,...SuggestedFull timeLocal areaFlexible hoursShift workPimco
Arizona19 hours 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, CO20 days ago $90k - $125k
...specifically dedicated to supporting the Chief AML Officer covering the Broker-Dealer (BD) Securities Division. In this role, the AML Advisory... ...125,000 (Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and...Suggested- Mutual of America Financial Group is seeking a Lead, Compliance for broker/dealer operations in a hybrid role in Boca Raton, FL (and New... ...of the broker/dealer. The role requires FINRA/SEC rule knowledge, Series 6 and 26 or ability to obtain, and 3-5 years of related...Suggested
- Equiton seeks a Vice President, U.S. Broker-Dealer Operations to lead the launch, regulatory oversight, and growth of its U.S. broker... ...to executive leadership and requires deep FINRA/SEC regulatory knowledge and capital-raising expertise. The candidate will establish scalable...Suggested
- ...compliance programs across the brokerage and investment adviser entities. The role requires comprehensive compliance experience and knowledge of relevant regulations, as well as the ability to integrate AI tools into compliance operations. The successful candidate will...Work at office
- ...support and interaction. This will involve acquiring a working knowledge of the investment management business, SEI Funds, products and... ...Sales and Service teams. Individuals must work with the National Broker Dealer Sales staff, Advisor Network Sales Team, and SEI Private...Work experience placementWork at officeFlexible hours
- ...trading opportunities Build long-term client relationships by providing market insight and value Maintain real-time market knowledge to support pricing, risk, and margin decisions You'll thrive in this role if you are: High-energy with a strong entrepreneurial...TraineeshipWork at office
- ...expansion strategy, we are establishing a boutique, limited scope broker-dealer focused on raising capital for private real estate... ...will combine strong broker-dealer leadership experience, deep knowledge of FINRA and SEC regulations, and a practical understanding of...Work at officeRelocation
- TD Securities in New York seeks an experienced VP to lead its Broker-Dealer Regulatory Reporting. You will own the preparation, review... ...full regulatory compliance. This role requires deep technical knowledge, strong stakeholder communication, and the ability to translate...
- ...Advisors and SEI Wealth Network in Oaks, PA. You will provide account and operational management with daily client contact, building knowledge of SEI Funds, products and processes. You will work with SEI Private Trust Company and Sales teams, handling inquiries and...Work at office
- ...Regulatory Reporting Specialist Under general supervision, uses knowledge and skills obtained through education, training, and experience to support broker/dealer regulatory reporting activities. The primary responsibility of this role is to prepare and support the...Work experience placementWork at office
- ...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...Flexible hours
- ...regulators like FINRA and the SEC. The ideal candidate should have over 12 years of relevant experience in broker-dealer regulatory compliance, strong knowledge of regulatory standards, and an ability to operate independently. This role includes responsibilities such as...
- ...years of experience in an industrial environment. Experience in the operation of skid loaders, front-end loaders and/or forklift. Knowledge of manufacturing processes and procedures. Ability to operate machinery and computer systems while maintaining compliance with regulatory...Remote workShift work
- Join the NA Broker Dealers and Market Structure Payments Sales team!As a Payments Sales Manager (PSM) Executive Director within the Financial... ...selling cash and liquidity management products with in-depth knowledge of such products.Proactive with strong initiative and good team...Overseas
- ...Senior Regional Vice President, Financial Institutions & Broker Dealer About the Company Reputable financial services organization... ...the candidate to have a strong background in financial product knowledge, excellent communication skills, and the ability to work...
- ...Equities & Options Broker-Dealer Compliance Advisor Chicago - Onsite About The Role: We are seeking a Surveillance... ...related field required; JD/graduate degree preferred. ~ Strong knowledge of U.S. Broker-Dealer regulations and equity options. ~ Prior...Work at office
Chicago Financial Search, Inc.
Chicago, IL29 days ago - ...all applications and next steps. Our partner is looking for a Broker-Dealer Compliance Analyst based in the United States. This is... ...surveillance, or a related financial-services function. Working knowledge of FINRA rules and broker-dealer supervisory requirements...Full timeRemote work
jobgether
United States7 days 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,...Full timeLocal areaRemote workFlexible hoursShift work
Louis Dreyfus Company
Claypool, IN5 days ago
