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The Senior Analyst position within Baker Tilly Capital, LLC’s Development Community Advisory - Capital Formation (“DCA”) team offers a great opportunity to be part of a growing team within our FINRA Broker-Dealer and be a valued business advisor delivering industry-focused financial services to energy and infrastructure clients.
$78,840 - $167,130 a yearFull-timeExpandUpdated 5 days ago - UpvoteDownvoteShare Job
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Familiarity with broker-dealer regulation, Dodd Frank, Reg AB, CFPB, state and federal regulators, lending, bankruptcy, and with various fixed income and derivative products. Strong substantive knowledge and significant experience in structured finance and capital markets including financing, asset acquisition and securitization transactions.
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Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC as a registered Futures Commission Merchant (FCM). Phillip Capital Inc. seeks a Broker Dealer Accountant interested in joining the team.
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Trade lifecycle knowledge for Prime Broker, Broker Dealer, Futures Commission Merchant, OTC Derivatives, etc. Insight on how the IRS reporting and withholding regimes influence Capital Markets products a plus.
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As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. The Senior Financial Analyst in FP&A will play a highly visible role on the Corporate FP&A team supporting Strategic Planning and Capital Management.
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This person will be responsible for aggregating and scrutinizing data, providing actionable insights, and spearheading the management and execution of projects across various domains throughout the family office, registered investment advisor, broker dealer, alternative investment, and capital markets spaces.
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Understands the broker dealer environment and the key associated market risks. Backed by Goldman Sachs Asset Management and Everstone Capital, Apexon now has a global presence of 15 offices (and 10 delivery centers) across four continents.
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Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986.
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Our strategy focuses on continuing to build out our investment banking effort, enhancing our capital markets businesses and further developing our Leucadia Asset Management alternative asset management platform.
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AVM, L.P. ( is a registered broker dealer based in Boca Raton, FL. III Capital Management, its affiliate, manages ~$5 billion in hedge fund capital, trading on a 24/7 basis worldwide ( specializing in fixed income and equity products.
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1+ years in trading, quantitative finance, derivative valuation or risk management roles in a broker-dealer, bank, an asset manager or an energy/commodity trader. Our clients are broker dealers, asset managers, hedge fund managers, private equity firms, crypto firms, regulators, legislators, brokers, commodity traders, energy companies (including upstream, midstream and downstream operators), and mining and metal processing firms.
$110,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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CFA, MBA, and/or formal credit training is a plus. Jefferies is an equal employment opportunity employer, and takes affirmative action to ensure that all qualified applicants will receive consideration for employment without regard to race, creed, color, national origin, ancestry, religion, gender, pregnancy, age, physical or mental disability, marital status, sexual orientation, gender identity or expression, veteran or military status, genetic information, reproductive health decisions, or any other factor protected by applicable law.
$200,000 - $250,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Be a subject matter expert with respect to Broker Dealer compliance, including but not limited to, marketing, suitability and Reg BI. This is a generalist compliance position that will primarily support a newly registered Broker Dealer as well all aspects of the Firm's businesses.
$150,000 - $175,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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1-2 years in Broker-Dealer compliance experience, capital markets compliance or regulatory experience. Oppenheimer & Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker-dealer.
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Have an opportunity to play a major role in projects like developing market entry strategy for private banks, growth strategy model, designing user experience for advisor workstation, defining a new business model for broker dealer, designing Omni channel experience for financial services complex, etc.
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