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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 1 month ago - UpvoteDownvoteShare Job
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Full-Time Apply now A distributed platform for private market securities - Invest in leading companies before they IPO. Home Investor Login Deal Room University Sitemap Team Press Blog Careers Schedule a Demo Contact Nature of Business: PreIPO is a financial technology platform, not a bank or a traditional broker-dealer.
ExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Marketplace and brokerage services provided by Acervus Securities, Inc., an SEC registered broker‑dealer and member FINRA / SIPC. We are currently seeking a Product Analytics Intern for our Investor Persona team.
$25 - $39 an hourFull-timeExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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The Investor Persona function is focused on designing and delivering innovative tools and services for investment decision makers. Hands on development of investment analytics and data process in Databricks, python, SQL, Looker and Hex.
$25 - $39 an hourFull-timeExpandApply NowActive JobUpdated 15 days ago - UpvoteDownvoteShare Job
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Oppenheimer & Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker-dealer. Ability to sell, analyze, use market data and investor feedback to formulate trading ideas.
Full-timeExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Focus acquires and owns growth-oriented and client-centric wealth management firms, challenging the traditional broker/dealer and banking models. Since its inception in January 2006, it has completed over 290 M&A transactions and large-scale wirehouse lift-outs, making it the largest investor in the Registered Investment Advisor ("RIA") space.
Full-timeExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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The [Associate] Corporate Counsel will report directly to the General Counsel & Corporate Secretary and collaborate closely with teams throughout the organization, as well as engage with the leadership team and our broker-dealer, registered investment advisor, and European subsidiaries.
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Perform prospective and existing Investor onboarding activities including document collection and tracking from our Managing Broker Dealer and Advisors/firms. Manage investor portfolios within Landfolio and Box by uploading investor documents and maintaining accurate up to date records.
ExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Regulatory body (FINRA, SEC, other SRO) or at a compliance consultant or law firm dealing with broker-dealer, investment advisor, and AML matters. 2 to 5 years of experience working in a legal or compliance related role within a financial services firm (broker-dealer, investment adviser, etc.
ExpandApply NowActive JobUpdated 16 days ago - UpvoteDownvoteShare Job
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2+ years of relevant legal work experience in a law firm and/or in-house, preferably in corporate securities / capital financing, M&A, technology transactions, investor relations, corporate governance and equity compensation.
ExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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As the nations leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. Minimum of 6-7 years experience working in-house at a broker/dealer, securities related regulatory entity, or a law firm, and preferably significant exposure to litigation practices and procedures.
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The Vice President, Assistant General Counsel in the firm’s Early Dispute Resolution (EDR) group is responsible for a broad range of in-house legal services, with primary focus on responding to investor complaints, including both sales practice and operational complaints, collaborating on regulatory inquiries and resolving customer complaints before they escalate, and defending the firm and its advisors prior to litigation.
$174,640 - $261,960 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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Expert knowledge of FINRA, SEC, state, and other regulatory requirements applicable to a self-clearing broker-dealer and transfer agent holding retail investor securities. As a trusted leader, the Compliance Director, Regulatory Exam Response will provide direction to a dynamic team of compliance professionals focused on carrying forward the tone for regulator engagement and exam and inquiries response on behalf of Vanguard Marketing Corporation, an affiliated self-clearing broker dealer and distributor of Vanguard products.
Full-timeExpandUpdated 14 days ago - UpvoteDownvoteShare Job
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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.
ExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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The ideal candidate will have experience and strong knowledge on the following: (i) investment market demand and requirements for successful products; (ii) the competitive fund manager landscape; (iii) investment management revenue models and opportunities; and (iv) investor demand profiles within wirehouse, registered investment adviser (RIA), and independent broker dealer (IBD) distribution channels.
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