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1-3 years of asset management, finance, operations, pricing servicer, or broker/dealer valuation experience preferred. Functional knowledge and/or experience with a wide range of security products: Interest rates, Mortgages (Agency, Non-Agency) and other Securitized product (CLO, CMBS, CDO, ABS), Government Bonds; Credit Index (CMBX, CDX), Derivatives (Futures, Options, Swaps); However, product knowledge can also be trained on the job.
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The Broker-Dealer Accounting/Regulatory Reporting team for Bernstein Institutional Services is in search of an Intermediate Staff Accountant, Broker Dealer Accounting to join their newly formed U.S. Controller’s team.
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Knowledge of broker-dealer products, including, but not limited to; equities, options, fixed income, derivatives, annuities, and investment advisory services preferred. Knowledge of securities laws, rules and regulations applicable to investment advisers and broker-dealers.
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BGC Partners also provides a full range of services, including trade execution, broker-dealer services, clearing, processing, information, and other back office services to a broad range of financial and non-financial institutions.
Full-timeExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Prior Broker Dealer or similar industry experience preferred, Series 99 and 27 designation a plus. We are recognized as a market leader in derivatives valuation, trading, and value-added order execution across global equity, options, and futures markets.
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The Broker-Dealer Accounting/Regulatory Reporting team of Bernstein Institutional Services is in search of a manager, Broker Dealer Accounting and Reporting to join their newly formed U.S. Controller's team.
Full-timeExpandApply NowActive JobUpdated 19 days ago - UpvoteDownvoteShare Job
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Market Citi-ONE ATS platform to sell side & broker dealer platforms. Platform & Electronic Sales is responsible for the marketing and distribution of all Equities and Equities-related trading products at Citi across Cash, Derivatives, Delta One and Prime.
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Assisting with the design and implementation of CIBC’s US Broker-Dealer compliance program; Assisting the US Broker-Dealer CCO in coordinating U.S. regulatory exams, inquiries by regulators, and audits of Compliance by Internal Audit.
$180,000 - $225,000 a yearFull-timeExpandApply NowActive JobUpdated 22 days ago - UpvoteDownvoteShare Job
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Strong accounting and finance background and experience in Liquidity reporting including Liquidity stress testing, FR2052a reporting - and products and processes associated with a Broker Dealer.
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The candidate will report to the Chief Financial Officer and will be involved in the monthly and quarterly close of the Company's introducing broker-dealer. The candidate will play an integral role working with the front-line business teams to ensure that they are aware of the Financial and Operational rules of a U.S. Broker-Dealer and ensure that the company is in continual compliance.
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Expertise in policies, procedures, governance, design and operations in relevant areas, such as trade life cycle, front-office structure, broker-dealer operations, clearance and settlement, client onboarding, treasury operations, collateral management and regulatory regimes.
$119,900 - $219,800 a yearFull-timeExpandApply NowActive JobUpdated 30 days ago - UpvoteDownvoteShare Job
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Knowledge of industries, including investment banking, broker-dealers, custody, fund administration and investment management. Knowledge of a range of financial products, including derivatives, equities, and fixed income; foreign exchange; and commodities.
$119,900 - $219,800 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Manage development and integration of systems to support the Compliance department covering our Swap Dealer (Interest Rate Derivatives) and Broker Dealer (Securities) buinsesses.
$180,000 - $237,000 a yearFull-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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Overview: The Assistant General Counsel - Commercial Bank provides transactional and regulatory support to M&T’s Treasury Group and Broker-Dealer Affiliate. In addition, the Assistant General Counsel will assist with Broker-Dealer regulatory and compliance activities, including reviewing/drafting policies & procedures and reviewing marketing materials.
$130,795.52 - $217,992.53 a yearFull-timeExpandApply NowActive JobUpdated 10 days ago - UpvoteDownvoteShare Job
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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.
ExpandApply NowActive JobUpdated 4 days ago
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