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Hold Brothers is a self-clearing broker-dealer is a member of FINRA and SIPC. Job Summary We are seeking a highly motivated Accounting Intern to join our finance team. This position offers an excellent opportunity to gain hands-on experience in the fast-paced world of equities trading and broker-dealer services.
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In this role, you’ll make an impact in the following ways: Responsible for assisting in preparation of daily net capital requirements reports and weekly customer reserve reporting for a full service securities trading broker dealer ( c- and C- reports) Also help in tracking daily trading activities and results to prepare daily accounting trail balance report – showcasing position values of fixed income and equity trading.
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Applications: Capital markets and fixed income portfolio will be the broker dealer system. Applications: Capital markets and fixed income portfolio will be the broker dealer system.
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Experience with broker-dealer rules (including for example, rules concerning conflicts, communication with the public and advertising) is helpful. The secondee will be a member of a broader group of advisory attorneys servicing Morgan Stanley's Institutional Securities Group global capital markets, equity sales and trading businesses and may collaborate with attorneys advising Morgan Stanley Wealth Management's business.
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Focus acquires and owns growth-oriented and client-centric wealth management firms, challenging the traditional broker/dealer and banking models. Partner Firms get access not only to capital for growth but also to resources that assist in succession planning, talent management, marketing, pricing, compliance, operations, technology, vendor management and, most importantly, acquisitions of other RIAs.
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Prior experience with an RIA or broker-dealer. Fielder Capital is a rapidly growing Registered Investment Adviser (RIA) based in Nashville, TN. Proficiency in basic finance skills (financial modeling, accounting, capital markets, etc.
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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.
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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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Experienced Capital Markets Attorney to support the retail sales and trading broker-dealer activities of Merrill Lynchs Global Wealth and Investments Solutions group. Providing primary legal support to Merrills broker-dealer sales and trading businesses for Equities and Fixed Income.
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The position will be based out of Baltimore, MD or Richmond, VA.As a Broker Dealer Regional Consultant:You will personally own key client and strategic partner relationships as a member of the Americas Wealth Group.
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Responsibilities: Regulatory Reporting (Primary):Prepare FOCUS and relate reportsPrepare SIPC reportsMonitor compliance with FINRA and SEC regulations, including net capitalBroker-Dealer net capital monitoring and forecastingSpecial projects, including mergers & acquisitions, and process improvement Treasury (Secondary)Bank portal backup, including admin and wire releaseCash forecastingEducation Requirements:Bachelor’s Degree in Accounting or Finance from an accredited university is required.
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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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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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The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., FINRA, NASDAQ and SEC.
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Developing and maintaining enterprise-wide policies, procedures, standards and training for SOX Compliance and Internal Control requirements for US Federal Reserve Bank filing for Capital & Stress Testing (FR Y-14 A/Q/M reports) in support of CFO Attestation as well as Internal Control requirements for select broker-dealer reports.
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