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In this role, you will work with a team of external and internal wholesalers in an effort to build relationships with top financial advisors in the Broker Dealer Channel as well as provide valuable client solutions to assist advisors in growing their business using State Street's investment products.
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You will oversee the completion of bank and broker dealer regulatory filings, the production of private-company financial statements, and the coordination of related audits. As a Financial Reporting & Technical Accounting Manager group based in Irvine, CA you will serve as a technical accounting and regulatory subject matter resource for Global Finance and to Capital Group broadly.
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Our Broker-Dealer Advisor channel is responsible for working with wirehouse and full-service broker dealer financial advisors across the country. Developing a deep understanding of capital market research and application to portfolio management.
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The Global Markets Regulatory Compliance (GMRC) Advisory Vice President is responsible for providing advice on Swap Dealer and Broker Dealer regulations (including the global impact of relevant U.S. regulations) and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support functions.
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Strong knowledge and understanding of regulatory processes and reporting to FINRA and SEC that includes broker dealer 15C3-1 net capital calculation and 15C3-3 customer reserve formula.
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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.
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Key Responsibilities and DutiesRaises capital for TIAA's Alternative Strategies primarily within the Wealth Channels, including Wirehouses, Private Bank, Independent & Regional Broker-Dealer, RIA and Family Office.
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Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company.
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10+ years experience at a registered broker-dealer, investment manager, or US bank. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions.
$145,000 - $165,000 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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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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Position requires strong knowledge of Trade Life Cycle of Capital Markets products from Booking to Settlement, Transactional Regulatory Reporting, US broker dealer and transactional regulatory reporting, and solid experience with regulatory reporting IT systems.
$145,000 - $170,000 a yearFull-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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The firm is a broker-dealer registered with the United States Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority. Leerink Partners is a leading investment bank providing a complete suite of financial solutions comprising M&A advisory, equity, debt, and derivative capital markets, equity research, and sales and trading capabilities.
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The [Associate] Corporate Counsel will report directly to the General Counsel & Corporate Secretary and collaborate closely with teams throughout the organization, as well as engage with the leadership team and our broker-dealer, registered investment advisor, and European subsidiaries.
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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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Senior Risk Advisory Analyst (Broker/Dealer) This position is the primary Risk Advisory lead for HilltopSecurities products and services including: capital markets, structured finance, public finance, clearing services, and retail brokerage.
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