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Interactive Brokers LLC is looking for a motivated and talented Compliance Testing Officer who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm.
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About Parameta Parameta Solutions, the data and analytics division of inter-broker dealer TP ICAP, is a leading global provider of OTC Market Data. From pre to post trade, their solutions help clients manage complex markets more effectively.
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Are you a motivated attorney with expertise in commodities, securities, and broker-dealer issues? JDHuntr offers a range of exclusive job openings in California, DC, Florida, and New York. From in-house counsel roles to general counsel positions, we provide access to legal jobs in various locations including Los Angeles, San Francisco, and more.
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Interactive Brokers is hiring an experienced auditor to perform independent assessment of its broker dealer entities. Keep abreast with various securities, commodities, banking regulations regarding AML/Financial Crimes.
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Highly computer literate with the ability to quickly learn and use Bloomberg and broker/dealer trading platforms. Monitor and report on trade execution costs and market impact as an input to broker/dealer selection.
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A highly successful and growing publicly traded financial services firm is seeking to hire a talented Compliance Officer, Electronic Trading who is familiar with U.S. securities and/or commodities regulations and has relevant experience at a broker dealer, regulatory agency, exchange, law firm, or other trading institution.
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Perform surveillance of the U.S. registered broker-dealer and OTC derivative/swap trading products with primary focus on Fixed Income. Other products include: Cash Equities, Program Trading, DMA, Listed Equity Derivatives, Delta1, Convertibles, Treasuries, Repo Financing, Prime Brokerage, Commodities, Interest Rate Derivatives, FX.
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As a member of the SSGA senior most Operating Group, Executive Management Group and Senior Leadership Team as well as the Corporate Compliance function, provide collaborative compliance technical advice and consulting as a subject matter expert to the SSGA Chief Executive Officer, Global Corporate Chief Compliance Officer, and advisors across all SSGA functions, including sales, product, broker-dealer, investments, and trading.
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Qualifications: Experience in Internal Audit or Testing team of control functions Must have an understanding of the control functions of a Broker Dealer and/or similar entities FCM or SEF Familiar with CFTC, SEC, FINRA and NFA Rules Thorough understanding of the requirements Series.
$70,000 - $90,000 a yearFull-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Interactive Brokers islooking for a motivated and talented litigation attorney with experience in securities and commodities issues in the broker-dealer and futures commission merchant space, who is interested in joining the firm’s General Counsel office in Greenwich, CT, Chicago, IL or Washington, DC.
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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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We consist of an investment bank, US broker-dealer, transfer agent, registered investment advisor, commodity pool operator, valuation services, proprietary funds, and an environmental asset authenticator, registry, and exchange.
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Role Mandate: The role works closely with the Swap Dealer and Fixed Income, Currencies, and Commodities ( "FICC”) LOBs and other internal business partners to ensure regulatory, corporate and fiduciary obligations are met.
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Parameta Solutions, the data and analytics division of inter-broker dealer TP ICAP, is a leading global provider of OTC Market Data. From pre to post trade, their solutions help clients manage complex markets more effectively.
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The scope of this function will encompass SMBC Group’s Americas Division, inclusive of U.S. broker dealer and registered swap dealer; SMBC Group's wholesale and retail banking operations; U.S. and LATAM representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking and trading subsidiary; and Mexican non-bank leasing affiliate.
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