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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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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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Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking an EVP of Finance & Operations to oversee the self-clearing brokerage operations, related affiliates and serve as a member of our executive team.
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Maintain an understanding of Financial Industry, FINRA, Broker Dealer and registered investment advisor relationships, and more specifically Walton’s investment structures. Walton is currently looking for a full time, hybrid Internal Sales Associate for our office in Scottsdale, AZ. The successful candidate will be reporting directly to the Senior Vice President, Capital Markets.
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A midsize digital investment bank is seeking a Broker Dealer Regulatory Reporting Associate. Broker Dealer Regulatory Reporting Associate. Candidate must have minimum of 3 years of broker dealer or accounting firm experience working with SEC rule 15c3-1 and 15c3-3.
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Reporting to the CEO and serving as an integral member of the senior management team, the Chief Compliance Officer will possess proven leadership skills and extensive compliance experience to oversee the retail private client services and investment banking activities of a dually registered broker/dealer and SEC registered investment adviser.
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Center 2 (19050), United States of America, McLean, VirginiaCommercial Broker Dealer Compliance Advisor - Senior ManagerThe Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer.
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As an Divisional Business Manager responsible for the supervision of sales practices activities for the Advisor teams they cover, the opportunity will provide candidates with a culture of service & integrity; design & execution excellence; teamwork and collaboration within a fast-paced growing ultra-high net worth dually registered Broker-Dealer & Investment Advisor.
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Phillip Capital Inc. is a growing SEC registered securities self-clearing broker-dealer and Futures Commission Merchant (FCM) firm based in Chicago. Must have a minimum of 5 years’ experience in a self-clearing broker-dealer with focus around securities and options.
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Good-knowledge of banking industry and services is required; Knowledge of market data tools and external resources like S&P Capital IQ, SNL, Bloomberg, Moody's, and Credit Sights strongly preferred.
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Apex Capital Holdings, LLC is an associated member of T3 Trading Group, LLC. T3 Trading Group, LLC is a registered SEC broker-dealer and member of the FINRA SIP. About Apex Capital Holdings: Established in 2009 and headquartered in New York, Apex Capital Holdings is a premier multi-manager platform that excels in event-driven trading, sector-specific portfolio management, and quantitative strategies.
ExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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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. LPL is seeking a VP, Events & Meeting Planner to lead the Corporate Events team, which is a part of LPL's Human Capital organization and sits within the Culture & Inclusion department.
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Experience at RIA or Broker/Dealer is a plus. On behalf of InterOcean Capital, we are seeking a Client Service Associate to join the team at our new office location in Nashville, Tennessee.
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