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- ...SPG, Broker-Dealer Private Side Compliance Advisory The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory... ...and residential mortgages and autos, and related products. Deep knowledge of the regulatory, legal and policy rules and standards for these...SuggestedWork at officeLocal areaWork from home
Smbc Global Foundation Inc
New York, NY18 hours ago $200k
...Graduate Broker Trader We are looking for a recent graduate to join IMC as a Graduate Broker Trader. IMC is a high frequency trading... ...complex problems Interest in financial markets; previous knowledge is NOT required Must be available for full-time employment starting...SuggestedPermanent employmentFull timeIMC Inc
Chicago, IL2 days ago$200k
...& development ~ Vision insurance Senior Sales Executive Broker-Dealer Advisory In-Office | Suffolk County, NY Compliance... ...Either: A former broker-dealer professional with strong knowledge of FINRA/SEC regulatory frameworks or A proven B2B consultative...SuggestedFull timeWork at officeCXG Holdings Inc
Smithtown, NY26 days ago- A leading Life Insurance subsidiary is seeking a Process Specialist in Des Moines, IA. This hybrid role involves leading the knowledge and content management process for call center and processing departments, ensuring accuracy of product information, and collaborating...SuggestedWork experience placement
- ...Regulatory Reporting Professional Broker dealer client is seeking a Regulatory Reporting professional to join its Finance & Accounting... ...reporting experience (15c3-1, 15c3-3, FOCUS). ~ Strong knowledge of Financial Responsibility Rules, including possession or control...Suggested
- An International Broker Dealer is looking for an experienced Corporate Actions specialist to join their team. This candidate will be... ...information Job Requirements: At least 7 years of relative experience Knowledge of Broadridge/ADP, GlobalOne, Loanet, and XPRisa Compensation:...Suggested
- ...Broker Dealer Regulatory Governance Advisory Compliance Officer The SMBC Compliance Advisory Function resides within Compliance Department... ...and skills required for this role include: Knowledge in US securities laws, rules and regulations, including SEC and...SuggestedWork at officeLocal areaWork from homeHome office
Smbc Global Foundation Inc
New York, NY18 hours ago $115k - $150k
...to laws, regulations and firm standards Qualifications: ~ Proficiency in FINRA licensing and registrations and a working knowledge of FINRA Gateway ~ Bachelor's degree or equivalent ~2+ years of working experience, ideally at a major financial services firm...SuggestedWork experience placementLocal areaFlexible hoursBlackstone Restaurant
Miami, FL4 days ago$145k - $185k
...relevant working experience in a trading-related environment and/or broker-dealer compliance ~ Undergraduate degree in Engineering,... ...Law or related ~ Expertise in Excel, VBA, SQL, and Python ~ Knowledge of SEC, FINRA, CFTC, NFA and/or exchange rules and...SuggestedWork experience placementLocal area- ...Vice President, Banks & Broker Dealers Join JPMorgan Chase's Risk Management and Compliance team, where your expertise will be pivotal... ...financial services. ~ Credit/Market Risk experience. ~ Knowledge of financial institutions, including banks and broker dealers....Suggested
- ...Vice President of Independent Broker Dealer Channel Marketing About the Company Internationally acclaimed fixed-income investment... ...time, requiring an investor-centric mindset, deep investment knowledge, and a strong understanding of advisor needs and purchasing behaviors...Suggested
- ...mutual funds, to Vanguard's financial advisor clients. FAS serves broker-dealers, asset managers, bank trust departments, registered... ...exhibiting the highest-producing sales skills and in-depth product knowledge of fixed income strategies, and other asset classes. Navigates...SuggestedHome office
Vanguard
Hartford, CT2 days ago $170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President 4 days ago Be among the... ...enhancements to strengthen the reporting framework. Maintain up-to-date knowledge of U.S. regulatory requirements, reporting standards, and...SuggestedFull timeWork at officeRemote work- ...Accounting, Finance, or related field.* 10+ years of experience in broker-dealer regulatory reporting, capital management, or financial... ..., with deep industry, external / internal, enterprise knowledge, recognizing and anticipating emerging trends and; identifying...SuggestedTemporary work
$210k - $245k
...week in-office). About the role As an Engineering Manager in Broker Dealer, you'll help balance on-time delivery of new features alongside... ...engineered solutions. Develop deep domain and industry knowledge to be a highly effective partner across internal and external stakeholders...SuggestedWork at officeLocal areaMonday to ThursdayFlexible hours$70k - $85k
...significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with... ...different entities in the United States. The team will work with brokers or client services to gather the proper documentation and...Local areaImmediate start- ...the status quo and striving to be best-in-class. As a Lead Credit Officer on the Banks and Broker Dealers team, you will leverage your analytical abilities and industry knowledge to make and support credit decisions for a diverse portfolio of clients. You will manage exposure...
- A financial services company is seeking a Broker Dealer Operations Specialist for their Alternative Investments division. This hybrid... ...problem-solving and communication skills are essential, as well as knowledge of platforms like iCapital and NetX360. #J-18808-Ljbffr...
- ...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, NY23 days ago - ...Banking Financial Institutions Group, specifically focusing on the Broker Dealers sales segments, you will assist Payments Sales Managers... ...Preferred qualifications, capabilities, and skills Knowledge and understanding of the JPMorgan Treasury Services products, pricing...
$140k
...long term relationships that support repeat and referral business. This is a strong fit for agents who want to deepen their knowledge, work with intention, and stand out as a trusted resource in a dependable area of real estate. You will grow inside a collaborative...Work at officeRelocationKW Temecula Valley
Temecula, CA17 days ago$130.9k - $154k
...of monthly accounting close activities related to the FCM and Broker Dealer entities Driving preparation of monthly financial statements... ...guidance related to FCM futures clients (17 CFR 1.20) Knowledgeable about investments with an interest in blockchain technology and...Full timeLocal area- ..., with focus on Latin America. Description of the position The Broker-Dealer Compliance Specialist will support internal assessments... ...with FINRA rules and SEC regulations. This role requires in-depth knowledge of regulatory frameworks to identify risks, evaluate controls,...Work at office
$70k - $130k
...client-focused Associate Regional Consultant (AVP) to join our Broker Dealer Distribution Team. This is an exciting opportunity to contribute... ...Investment Management solutions and offerings with a deep knowledge of product positioning, holdings, and performance. Educate...Temporary workWork at officeFlexible hours- ...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 Alexander ChapmanFull time
- ...assist leadership with developing strategies to minimize input costs and maximize margins. Requirements Bachelor’s Degree Extensive knowledge of Microsoft Office products Experience in financial analysis, forecasting Ability to meet tight deadlines and effectively multi...Work at officeWorldwide
- ...Officer to oversee compliance across its operations. The role demands a minimum of 15 years of compliance experience and advanced knowledge of investment regulations. Responsibilities include managing a compliance team, advising senior management, and ensuring adherence...Relocation package
$130k - $177k
...Financial Services client is seeking a Business Analyst to join our Broker Dealer Back Office team, with a focus on Transaction Lifecycle... ..., Calypso, Murex. Proficiency in SQL for data analysis. Knowledge of regulatory frameworks: Dodd-Frank, EMIR, Basel III, UMR. Experience...Contract workH1bLocal areaRelocation3 days per week$135k - $180k
...day-to-day accounting and regulatory requirements for the firm’s broker-dealer and regulated international operations. This role... ...Accounting, Finance, or related field. CPA preferred. Strong knowledge of U.S. GAAP and familiarity with SEC, FINRA, and/or other international...Contract workLocal area$18.5 - $24 per hour
...Experience: Required None. Preferred 1 years' experience working in an industrial environment with a dependable work record. Knowledge, Skills, and Abilities: Basic mathematical skills (add, subtract, multiply, divide). Effective interpersonal, oral and written...Visa sponsorshipFlexible hoursShift workWeekend work
