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Optima Partners is looking for an Associate Consultant to support clients on regulatory compliance matters for some or all of the following: asset managers, hedge funds, private equity, venture capital, real-estate, credit managers, banks and broker-dealers.
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Robinhood Financial ("RHF") is Robinhood's retail broker/dealer, and is looking for a Communication Compliance Specialist within RHF Compliance. This role is also eligible to participate in a Robinhood bonus plan and Robinhood's equity plan.
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Expanding US Broker Dealer of an Intl Bank is seeking a expereinced professional to join our growing team - Purchase & Sales , Trade Support , Options Job Specs Reconciliation of CNS Equity Trade Breaks.
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We specialize in fund administration, broker-dealer compliance consulting, Investment Adviser Act compliance consulting, accounting and bookkeeping services. Company Description We specialize in fund administration, broker-dealer compliance consulting, Investment Adviser Act compliance consulting, accounting and bookkeeping services.
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T3 Trading Group, LLC is an SEC-registered broker-dealer & Member of FINRA/SIPC. T3’s office headquarters is in lower Manhattan in the heart of the financial district. Job Title: Equity Trader.
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Work experience: Ideal candidate will possess 1-4 years of work experience that is applicable to equity research including (1) healthcare investment banking or venture capital experience, (2) prior equity research experience with a broker dealer/investment bank, or (3) corporate role in a relevant life sciences industry.
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As a Vice President and Legal Counsel, you will play a pivotal role in helping to ensure the joint venture closes in a timely manner and shaping the legal framework and strategy of the newly formed global joint venture, which will have broker-dealers and/or broker-dealer operations in 20+ jurisdictions.
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Skills: Corporate Experience related to either Securities (33 Act, public offerings), or M&As, Private Equity, Private Fund, FINRA, Broker Dealer, Fund Compliance, Investor Advisor compliance.
Full-timeExpandApply NowActive JobUpdated 30 days ago - UpvoteDownvoteShare Job
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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.
$88,000 - $163,000 a yearExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Headquartered in New York City, Atria’s broker-dealer and investment adviser subsidiaries empower financial institutions and independent financial professionals with a sophisticated set of tools, services, and capabilities that deepen client relationships and maximize efficiencies in their practices.
$40,000 - $60,000 a yearFull-timeExpandApply NowActive JobUpdated 19 days ago - UpvoteDownvoteShare Job
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2+ years of fundamental or quantitative research or quantitative portfolio construction experience at an RIA, broker-dealer, or financial services firm. 2+ years of fundamental or quantitative research or quantitative portfolio construction experience at an RIA, broker-dealer, or financial services firm.
Full-timeExpandApply NowActive JobUpdated 18 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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Escalation point for Broker Dealer, Investment Bank, Sales, Research and Trading and Mergers & Acquisitions onboarding questions. This unique position owns the onboarding needs of our Capital Markets business including Derivative Trading, Equity Trading, Loan Syndications, Investment Banking, and M&A.
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Experience with IAM tools such as Active Directory, Azure Active Directory, Okta, and Ping Identity. Relevant industry certifications such as SailPoint Certified IdentityNow Engineer (SCIe), CISSP or CISA preferred.
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The ideal candidate will be a self-starter who is detail oriented and has retail or institutional broker dealer experience. B. Riley is nationally recognized and highly ranked for its proprietary small-cap equity research.
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