- Citigroup (Tampa, FL)
- …Rates, Credit, Municipal Products, Cash & Derivatives); Equities (Cash, Derivatives); Futures and Derivatives Clearing; FX Prime Brokerage; and Syndicates (Fixed ... businesses are maintained. **Job Purpose - Global Head of Brokerage Services, Futures and Derivatives Clearing Operations** , The global Head of Brokerage Services,… more
- Arizona Public Service (Phoenix, AZ)
- …operating results to Accounting, Tax and Forecast departments. 2) May confirm daily futures transactions with clearing broker and reconcile futures positions ... and maintain analysis of trading activities and strategies; review and verify broker commissions and submit requests for payment; prepare and maintain various margin… more
- Mizuho Corporate Bank (Chicago, IL)
- Futures Division clears 30 Exchange globally and reconciles...account on trade date + Liaise with Exchanges, carry broker s and clients on trade issues & ensure ... including working knowledge of GMI , LISA & DUCO + Firm understanding of Futures & Options trade life cycle and expertise in break resolution + Well-developed… more
- GROWMARK, Inc. (Des Moines, IA)
- …our clients and partners. * Maintain regular communication with assigned futures accounts, providing market information, analysis, and hedging opportunities. * ... Develop new accounts and deliver excellent service to existing complex accounts. * Contribute to the production of informational materials and maintain historical market data. * Assist in educational meetings and seminars, presenting market outlooks and… 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
- Morgan Stanley (Purchase, NY)
- …Morgan Stanley Wealth Management (MSWM) is one of the largest retail broker -dealers and serves the needs of individuals and small and mid-sized institutional ... range of securities products; fixed income, equity, options, OTC derivatives, FX, futures and precious metals trading in the secondary markets; and sales coverage… more
- Capital One (Mclean, VA)
- …laws and regulations - Commodity Exchange Act (CEA) and related Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) regulations. ... 2 years of experience testing or monitoring in a compliance department for an institutional broker dealer, or at least 2 years of experience as a swap dealer, or at… more
- Aramco Services Company (Houston, TX)
- …The Head of Derivatives Trading will lead the centralized derivatives desk, overseeing futures , options, and swaps trading. This position is pivotal in acting as an ... internal broker for the company's physical desks, managing existing and...trading desk, providing oversight on all financial trading activities ( futures , options, swaps) that support physical price risk management.… more
- Scotiabank (New York, NY)
- …Program covers US regulations applicable to all of Scotiabank's US broker -dealer (including internal inspections), banking, swap dealer, futures commission ... testing or audit. + Experience/background in compliance applicable to broker -dealer internal inspections, institutional trading & sales, investment banking, … more
- Raymond James Financial, Inc. (Seattle, WA)
- …_About Raymond James:_ _RJA is an investment adviser and full-service broker -dealer dually registered with the Securities and Exchange Commission. RJA also ... member of the Financial Industry Regulatory Authority, the National Futures Association, and the NYSE. RJA's services include private...Division of Raymond James."_ _RJA serves as a clearing broker -dealer and custodian for many of our affiliated … more
- TIAA (Washington, DC)
- …wellness solutions that will aim to help more Americans secure their futures in retirement. The attorney will engage with business partners, technology teams ... agreements and vendor contracts. + Collaborate with TIAA's and Nuveen's Broker -Dealer, Marketing, Insurance, Privacy, ERISA, Compliance and Risk teams, TIAA India,… more
- PNC (Houston, TX)
- …planning, developing, and implementing Compliance Program activities relating to National Futures Association (NFA), Commodity Futures Trading Commission (CFTC), ... products (eg, interest rate derivatives, commodity derivatives, foreign exchange) and/or broker dealer products (eg, fixed income securities). * Has knowledge of… more
- NatWest Markets (Stamford, CT)
- …CFTC/NFA swap dealer rules and regulations) and SEC/FINRA rules governing broker -dealers. + Experience monitoring and reviewing regulatory changes, writing and ... or compliance function of a Swap Dealer or a broker dealer. + Understanding of US regulatory requirements applicable...+ Understanding of rules and regulations pertaining to the futures markets The expected base annual salary range for… more
- MUFG (New York, NY)
- …of applications that support the back-office functions of the broker -dealer, including trading operations, risk management, and regulatory compliance. The ... experience in application management, with a focus on financial services or broker -dealer industry. + Strong technical background in .NET, Java, and Angular/React. +… more
- Thrivent Financial (Dublin, 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
- Thrivent Financial (Bismarck, ND)
- …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 (TX)
- …our core. For over 100 years, Thrivent has been helping people build their financial futures and live more generous lives. In 2020 alone, we logged over 9 million ... credentialed to provide investment advisory services. Visit Thrivent.com or FINRA's Broker Check for more information about our financial advisors. Pay Transparency… more
- Treasury, Financial Crimes Enforcement Network (Washington, DC)
- …institutions and non-financial trades or businesses. Such entities may include banks, broker dealers in securities, casinos and card clubs, credit card companies, ... dealers in precious metals, stones, or jewels, depository institutions, futures commission merchants, insurance companies, investment advisors, money services… more
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker -dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities Dealer, ... Futures Commission Merchant, Commodity Pool Operator, and registered as...Dealer. JPMS LLC conducts investment banking and securities and futures business, specializing in a wide range of financial… more
- Thrivent Financial (Seattle, 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