- Siebert Williams Shank (New York, NY)
- …trading platform, and a sound regulatory capital base. We are a SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker /dealer) is seeking to add a knowledgeable, driven, intellectually...changes to the taxable fixed income, municipal & equity securities sales & trading, public & corporate finance groups,… more
- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities , Inc. (HSI) Broker Dealer Operations Analyst II is responsible for supporting institutional broker dealer ... In this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you may… more
- Tradeweb (Jersey City, NJ)
- …Accounting department. The ideal candidate will have extensive knowledge of broker dealer operations, securities regulations, and financial reporting standards. ... from Dealerweb management team **Qualifications** + 5+ years of experience in securities accounting and/or broker dealer operations within the financial services… more
- PNC (Pittsburgh, PA)
- …other key stakeholders to drive PNC Capital Markets forward. PNCCM is registered as a securities broker and dealer, and we provide support to the business that ... remotely, at manager's discretion. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business for… more
- SMBC (New York, NY)
- …compliance experience at a broker dealer. + A solid foundation in US securities laws and regulations and broker dealer operations. + Ability to communicate ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the… more
- SMBC (Jersey City, NJ)
- …financial reporting process and related internal control framework + Knowledge of securities broker dealer business, financial products and regulatory reporting ... portfolio of benefits to its employees. **Overview** SMBC Nikko Securities America, Inc, a registered broker dealer,...SMBC Nikko Securities America, Inc, a registered broker dealer, provides investment securities and other… more
- NatWest Markets (Stamford, CT)
- …Bond, Repo, Treasuries and Capital Markets business + Sound knowledge of broker dealer regulations, and securities products and compliance including knowledge ... Rules 3110, 2210, and SEC 15C3-5 + Good knowledge of broker -dealer and securities processes and business. + Excellent communication skills in interacting with… more
- Securities and Exchange Commission (Boston, MA)
- …Provide expert analysis and review of activities related to the federal securities law requirements applicable to broker -dealer, investment advisers, investment ... Summary The Division of Examinations is hiring a Supervisory Securities Compliance Examiner in the Boston Regional Office. Responsibilities At the Securities and… more
- Securities and Exchange Commission (Los Angeles, CA)
- …Provide expert analysis and review of activities related to the federal securities law requirements applicable to broker -dealer, investment advisers, investment ... Division of Examinations- Los Angeles Regional Office is hiring a Supervisory Securities Compliance Examiner in Los Angeles, CA. Responsibilities At the … more
- SMBC (New York, NY)
- …SMBC Nikko Securities America, Inc. (Nikko US) is an SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Guardian Life (New York, NY)
- …MVC, JQuery **Domain Knowledge (Preferred, a big plus.)** + Familiar with broker /dealer and securities processing. + Familiar with industry standard feeds ... **Senior Software Engineer - Broker /Dealer** **Overview** This position works closely with our senior technical leads to translate business requirements into… more
- Siebert Williams Shank (Chicago, IL)
- …trading platform, and a sound regulatory capital base. We are a SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... (FINRA) and the Municipal Securities Rulemaking Board (MSRB). Our diverse professionals are not only committed to providing the highest level of value-added services… more
- Robert Half Finance & Accounting (Greensboro, NC)
- …analyst on pre-purchase and ongoing analysis of depositories, security issuers, specific securities , broker /dealers, and other entities * Make informed credit ... recommendations and collaborate with executive management on credit decisions * Maintain updated credit procedures and assist with policy review and necessary updates * Attend internal asset/liability committee, enterprise risk management committee, and the… more
- Ankura (NY)
- …lending companies, third-party payment processers, consumer collections agencies and securities /brokerage [ broker dealer] + Working knowledge/experience with ... BSA/AML compliance programs and developing training for FinTech's and broker -dealers. + Provide advice on technology implementation and enhancement including… more
- Securities and Exchange Commission (Chicago, IL)
- …securities laws and regulations; Examining or investigating clearing agencies, broker dealers, municipal securities dealers, municipal advisors, transfer ... position is open to current SEC employees only. Responsibilities At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion… more
- Securities and Exchange Commission (Chicago, IL)
- …area. The BDX examination program is responsible for conducting exams of broker -dealers, national securities exchanges, transfer agents, municipal advisors, ... the federal securities laws; investigating possible violations of federal securities laws and regulations; Examining or investigating broker dealers,… more
- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker -Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker -Dealer funding, ... oversight requirements within the Treasury organization. **Team Description:** The Global Broker -Dealer Legal Entity Treasury team reports to the Global Broker… more
- Deloitte (New York, NY)
- …clients, who include the world's leading banks and depositories, institutional broker -dealers, securities exchanges and industry utilities, clearing houses, ... to serve the spectrum of wealth management clients, including retail broker -dealers, retail and private banks, investment advisers, trust and insurance companies,… more
- Tradeweb (New York, NY)
- …implementation and oversight of the compliance program established to support the broker -dealer and will monitor and act upon regulatory developments relating to ... relevant SEC, FINRA and state rules. **Job Responsibilities** + As the broker -dealer CCO, the successful candidate will maintain and establish standards and… more
- Securities and Exchange Commission (Boston, MA)
- …Provide expert analysis and review of activities related to the federal securities law requirements applicable to broker -dealer, investment advisers, investment ... Supervisory Attorney-Adviser in the Boston Regional Office. Responsibilities At the Securities and Exchange Commission (SEC), we are committed to diversity, equity,… more