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Providing primary legal support to Merrills broker-dealer sales and trading businesses for Equities and Fixed Income. Experienced Capital Markets Attorney to support the retail sales and trading broker-dealer activities of Merrill Lynchs Global Wealth and Investments Solutions group.
Full-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Brokerage services provided to clients of Lime Trading Corp., an SEC-registered broker-dealer and member of the Financial Industry Regulatory Authority (FINRA), and the Securities Investors Protection Corporation (SIPC.
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The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo and securities lending. Perform credit analyses on broker-dealers, insurance, asset managers, hedge funds and other financial institutions with emphasis on investment strategy, asset quality, leverage, liquidity, historical performance, portfolio exposures and risk control framework.
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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.
ExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Knowledge of broker-dealer products including, but not limited to the following: equities, options, fixed income, derivatives, and Investment Advisory Services. Knowledge of broker-dealer products including, but not limited to the following: equities, options, fixed income, derivatives, and Investment Advisory Services.
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We have been operating in North America for over 100 years, providing a client-focused approach for global businesses with strong links to the UK. Our New York operations provides a gateway between the UK and North America for financial institutions and large corporate clients, offering core banking products such as lending, trade finance and a range of debt capital and financial markets services through our US broker dealer, Lloyds Securities Inc.
$250,000 - $340,000 a yearFull-timeExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Obtain (if not already held) appropriate licensure for broker-dealer reporting. Previous oversight of or audit of broker-dealer or. Ability to compile and review broker-dealer financial.
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Experience with an Exchange, FCM, Broker-Dealer, the CFTC, or NFA a plus. In coordination with the Senior Director N.A Derivatives, establish a best-in-class compliance program for Cboe Digital's CFTC regulated activities.
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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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Compile a suite of daily and monthly liquidity risk related reports for the US Operations, with a key focus on banking entities (FBO Branch and IDI subsidiary) as well as broker dealer and derivative swap dealer entities.
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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.
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The Futures and Derivatives Group works closely with lawyers in our Blockchain & Cryptocurrency, Bank Regulation and Enforcement, Broker-Dealer Compliance and Regulation, Investment Management, Securities Enforcement, and Securities Litigation Groups.
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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.
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The Portfolio Administrator is responsible for the Trade Settlement and Reconciliation functions which include: Acting as a liaison between the firm, custodian banks, and the broker/dealer community to ensure timely trade settlement, dispute resolution, and ultimate settlement of all trade activity; daily and monthly reconciliation of transactions and holdings, respectively, between SCD and the custodian banks; all tasks related to Cash Management Support and Collateral Management Support.
$75,000 - $90,000 a yearFull-timeExpandApply NowActive JobUpdated 19 days ago - UpvoteDownvoteShare Job
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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 20 days ago
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