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2-5 years experience with a broker-dealer or FCM, an exchange, the SEC, FINRA, CFTC, NFA, or a law firm in compliance, risk, technology, audit, or other related areas. Interacting directly with regulators on trading and markets issues, including SEC, FINRA, CFTC, CME, NFA, state and foreign regulators.
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Perform audits of Broker Dealer and Global Markets activities and its products including trading, sales, risk management, operations and compliance functions to ensure compliance with policies and SEC, FINRA and CFTC regulations.
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Member FINRA/SIPC. CFS is a broker/dealer and RIA with a stable track record of serving the investment needs of credit unions and their members. CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable track record of serving the investment needs of credit unions and their members.
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2+ years EPS Liquidity Risk/ALM/Treasury experience gained within a bank, regulatory agency or swap/broker dealer. Understanding of Liquidity Risk Regulatory requirements pertaining to Reg YY and FINRA, CFTC, NFA or FDIC.
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The VP, Broker Dealer Controller, will be a member of the Corporate Finance team and report into the Chief Accounting Officer. Broker Dealer Controller. Broker Dealer experience would be highly preferred.
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Member FINRA/SIPC. CFS is a broker/dealer and Registered Investment Advisor with a stable track record of serving the investment needs of credit unions and their members. CFS (Member FINRA/SIPC) is a broker-dealer and Registered Investment Advisor with a stable track record of serving the investment needs of credit unions and their members.
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Securities offered through Raymond James Financial Services, Inc. Member FINRA / SIPC. Hyre Personal Wealth Advisors is not a registered broker/dealer and is independent of Raymond James Financial Services.
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We are looking for a Director of Regulatory Reporting, a leadership position within the team that is responsible for ensuring the overall integrity of trade and position reporting submitted to the regulators for the Fidelity Broker-Dealers, National Financial and Fidelity Brokerage Services, as well as for correspondent client broker-dealer firms.
$85,000 - $144,000 a yearFull-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable, 25-year track record of serving the investment needs of credit unions and their members. Experience and aptitude with working with a broker-dealer technology, i.e., electronic order entry systems, DocuSign, etc.
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The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., FINRA, NASDAQ and SEC.
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AAM is a broker/dealer, member FINRA/SIPC and SEC registered investment advisor. Wholesale and Distribute Structured Products to Broker Dealers & RIA’s across the United States.
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We also value a strong understanding of the Broker/Dealer and RIA marketplace. Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA. We assist companies and non-profit organizations in delivering benefits to their employees.
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This includes submitting materials for broker-dealer compliance approval prior to use. Licenses and Registrations: MA certified Life, Accident, & Health Insurance license and current FINRA Series 6, 63 & 65; or Series 7 & 66 licenses.
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Ranked as one of the top broker-dealers in the industry, we work with many of the top financial institutions throughout the country. As our Financial Advisor, you will have direct and indirect communication with assigned clients and members to identify and recommend individually tailored financial planning strategies, while utilizing and selling appropriate investment and insurance products available through CUSO Financial Services, L.P. (CFS.
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A sound understanding of the Broker/Dealer and RIA marketplace. Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA.
$115,000 - $200,000 a yearFull-timeExpandApply NowActive JobUpdated 6 days ago
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