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Oppenheimer & Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.
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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.
$22 an hourPart-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Position requires strong knowledge of Trade Life Cycle of Capital Markets products from Booking to Settlement, Transactional Regulatory Reporting, US broker dealer and transactional regulatory reporting, and solid experience with regulatory reporting IT systems.
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External Wholesaler (Life and Annuity Distribution) Responsible for building new and growing existing relationships with agents and agencies to increase revenue from life and annuity sales. Support agents and agency marketers in product selection, case design, and illustration fulfillment.
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A plus if experience negotiating trading agreements at broker/dealer, buy-side firm and law firm with an emphasis on equity swaps and the master confirmations associated with those transactions.
$51.74 - $55.56ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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The Financial Services Group provides services to private equity, hedge fund, broker dealer, fund to funds, and real estate fund clients. The Financial Services Group provides services to private equity, hedge fund, broker dealer, fund to funds, and real estate fund clients.
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We're seeking a future team member for the role of Capital Markets Broker Dealer Regulatory Reporting Analyst to join our Capital Markets Accounting team. Capital Markets Broker Dealer Regulatory Reporting Analyst.
$66,000 - $110,000 a yearExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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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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Exemption from the PDT Rule: Operate beyond the restrictions of the Pattern Day Trader rule as a professional proprietary trader. Stock Locate Inventory & Direct Market Access: Leverage our extensive tools to enhance your trading opportunities.
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Working knowledge/understanding of the function and processes of a Broker Dealer and/or Investment Advisor. Boston is one of Amundi's six main global investment hubs, offering a broad range of fixed-income, equity, and multi-asset investment solutions in close partnership with wealth management firms, distribution platforms, and institutional investors across the Americas, Europe and Asia-Pacific.
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A plus if experience negotiating trading agreements at broker/dealer, buy-side firm and/or law firm with an emphasis on equity swaps and the master confirmations associated with those transactions.
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Support overall functions of the Legal and Compliance Department for the investment adviser and broker-dealer. Private equity firm located in Midtown Manhattan looking to bring on board a ” Legal & Compliance Associate ” to join their team.
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T3 Trading Group, LLC is an SEC-registered broker-dealer & member of FINRA/SIPC. We are recruiting experienced proprietary traders and seasoned active trading professionals looking to make the next investment in their career.
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Ability to execute a substantial travel schedule (approximately 95% of time) Successful track record of wholesaling fee based advisory services to Broker Dealer Registered Representatives and RIA’s.
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Advise on legal and regulatory requirements related to public and private distributions of equity securities by a U.S. broker-dealer. This opportunity based in St. Petersburg, FL involves providing proactive and timely legal and regulatory advice to the Equity Capital Markets (ECM) and Investment Banking division.
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