- Arizona Public Service (Phoenix, AZ)
- …generation and transmission system concepts. Major Accountabilities 1) May confirm daily futures transactions with clearing broker and reconcile futures ... statements and internal reporting system; calculate mark to market of open futures positions, monthly index prices and determine maintenance margin requirements as… more
- MUFG (New York, NY)
- …our recruitment team will provide more details. **Job Summary:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management and ... directly to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including: funding and liquidity risk management, asset liability… more
- Zero Hash (IL)
- …or similar certification a plus + Experience with MSBs and securities broker -dealers or commodities futures commission merchants or other BSA-defined financial ... institutions a plus + Ability to work with international colleagues and familiarity with legal and regulatory regimes outside of the United States a plus Ability to handle a fast-paced work environment and 10+ hour work days is essential. Benefits We believe a… more
- SMBC (New York, NY)
- …experience at a broker dealer covering fixed income and/or fixed income futures activities. + Strong knowledge in US securities laws, rules and regulations and ... and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the...Fixed Income activities including Primary Dealer and fixed income futures activity. + Provides advice on regulatory and compliance… more
- Thrivent Financial (Columbus, OH)
- …than 100 years, Thrivent has been helping Christians build their financial futures and live more generous lives. Today, Thrivent is a not-for-profit, ... credentialed to provide investment advisory services. Visit Thrivent.com or FINRA's Broker Check for more information about our financial advisors. Thrivent provides… more
- Trexquant Investment (Stamford, CT)
- …to build investment portfolios and trade our client assets in global equity and futures markets. In recent years, we have increased the breadth of markets in which ... in Accounting or Back Office Operations working for a Prime Broker , Administrator, Hedge Fund, Mutual Fund, Investment Advisor or Financial/Retirement Planner… more
- Thrivent Financial (Glenwood, MN)
- …than 100 years, Thrivent has been helping Christians build their financial futures and live more generous lives. Today, Thrivent is a not-for-profit, ... credentialed to provide investment advisory services. Visit Thrivent.com or FINRA's Broker Check for more information about our financial advisors. Pay Transparency… more
- Thrivent Financial (Auburn, WA)
- …than 100 years, Thrivent has been helping Christians build their financial futures and live more generous lives. Today, Thrivent is a not-for-profit, ... credentialed to provide investment advisory services. Visit Thrivent.com or FINRA's Broker Check for more information about our financial advisors. Thrivent provides… more
- Citigroup (Jersey City, NJ)
- …(ii) Futures /Clearing, (iii) Fixed Income Finance (Repo/TBA), (iv) Prime Broker and (v) Cross Product Margining. Interaction and collaboration with Front Office ... dominant top 3 player in the market, Equity (Cash, Derivatives, Prime Brokerage, Futures , Listed Derivs, FXPB) where Citi has a significant growth program to… more
- Citigroup (Getzville, NY)
- …(ii) Futures /Clearing, (iii) Fixed Income Finance (Repo/TBA), (iv) Prime Broker and (v) Cross Product Margining. Interaction and collaboration with Front Office ... dominant top 3 player in the market, Equity (Cash, Derivatives, Prime Brokerage, Futures , Listed Derivs, FXPB) where Citi has a significant growth program to… more
- The Cigna Group (Bloomfield, CT)
- …strategies + Develops and maintains strong intelligence capability through customer/ broker contact and formal competitive analysis + Achieves/exceeds earnings plan ... innovation; is an effective strategist full of ideas and possibilities; sees multiple futures ; has broad interests and knowledge; can both create and bring exciting… more
- Thrivent Financial (Belmond, IA)
- …than 100 years, Thrivent has been helping Christians build their financial futures and live more generous lives. Today, Thrivent is a not-for-profit, ... credentialed to provide investment advisory services. Visit Thrivent.com or FINRA's Broker Check for more information about our financial advisors. Thrivent provides… more
- Thrivent Financial (Ogallala, NE)
- …than 100 years, Thrivent has been helping Christians build their financial futures and live more generous lives. Today, Thrivent is a not-for-profit, ... credentialed to provide investment advisory services. Visit Thrivent.com or FINRA's Broker Check for more information about our financial advisors. Thrivent provides… more
- SMBC (Jersey City, NJ)
- …The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the compliance risks ... the SMBC Employee Investment Policy, arranges for the registration of broker -dealer personnel, and conducts compliance training. In addition, the Advisory Team… more
- Bloomberg (New York, NY)
- …mathematicians who built their careers with major asset managers, hedge funds and broker dealers across Equities, Fixed Income and FX trading. We see an opportunity ... to decision making and trading strategies. Trade Cost Analysis (TCA), Broker -Algo selecting tools, crowd-sourcing, market impact and trading optimizations are all… more
- MUFG (New York, NY)
- …and documentation submission required by the regulatory bodies for the broker -dealer's onboarding process + Assist with system configuration, setup, and testing ... a similar business analyst or market operations role, preferably within a broker -dealer or financial institution + Thorough understanding of financial markets, and… more
- MUFG (New York, NY)
- …Responsibilities:** + Handle any Front Office requests such as booking Broker trades, booking Megas/Supers/Platinums and correcting trades. + Check and reconcile ... of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material… more
- Marex (Chicago, IL)
- …of years of relevant financial industry experience; working for a FINRA registered Broker Dealer and NFA registered FCM ( Futures Commission Merchant). + ... Experience with KYC and anti-financial crimes related regulatory requirements is strongly preferred. + Experience with IRS Tax rules as it pertains to collection, documentation and interpretation of customer required tax forms. + Ability to accurately identify… more
- Citigroup (New York, NY)
- …and payments, trade finance, securities services, as well as Citi's broker -dealer and swap-dealer businesses. Investigations Legal provides legal advice on a ... (DOJ), the US Securities and Exchange Commission (SEC), the US Commodity Futures Trade Commission (CFTC), and the Financial Industry Regulatory Authority (FINRA).… more
- MUFG (New York, NY)
- …with experience in Technology auditor. + Preferably worked in the Broker -Dealer world and handled multiple projects concurrently, dealt simultaneously with FLoD, ... of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material… more