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5+ years of structuring or trading experience of asset-based securities at a broker dealer or investment firm. In this role, this individual will monitor asset-based securitized products markets, source and evaluate investment opportunities, interface with the trading counterparties, and execute trades.
Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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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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Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator. An ideal candidate will leverage their prior experience in sales and trading, strategist, market risk, product controllers, legal, or audit to investigate whether activities and practices comply with policies and regulations and the firm’s compliance control infrastructure.
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Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC as a registered Futures Commission Merchant (FCM). The Broker Dealer Accountant will play a critical role in ensuring the financial integrity of the firm's financial operations.
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Previous experience (2+ years) in trade support or operations role within a broker-dealer, bank or trading firm. Manage the pre/post trade lifecycle in close collaboration with Optiver's Sales, Trading, Onboarding, Brokerage and Compliance teams.
$110,000 - $125,000 a yearFull-timeExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Bachelor’s Degree and prior Broker-Dealer experience required. compliance, personal trading, and IT compliance. those related to personal trading, account disclosure, and outside activities.
Full-timeExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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A successful candidate in this position will bring 7-10 years of relevant compliance experience at a broker dealer. Broker Dealer Experience. Our client, one of the top global investment banks & trading firms is looking for a Director of Compliance to advise the electronic trading function.
ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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Other duties and special projects as assigned by Senior Management may include but proxy voting, corporate actions, vendor management liaison, soft dollar and broker dealer analysis. The Investment Portfolio Specialist provides portfolio support to all lines of Wealth Asset Management by engaging in asset management functionalities, such as, strategy implementation, trading, performance reporting, marketing and compliance.
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The Business Manager role is to support the Markets COO in our delivery for the Markets division and the broker dealer LSI and ensure performance and activities are being driven with appropriate conduct and within relevant risk appetites.
Full-timeExpandApply NowActive JobUpdated 19 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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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. Stock Locate Inventory & Direct Market Access: Leverage our extensive tools to enhance your trading opportunities.
Full-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
$80,000 - $95,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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6+ years of experience in a sales capacity with prior broker/dealer, buy-side firm, or other electronic trading venue experience. Passion for electronic trading and the resilience to effectively promote its continued evolution through MarketAxess products.
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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.
Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Train and mentor staff in regard to the broker dealer industry. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.
Full-timeExpandApply NowActive JobUpdated 20 days ago
broker dealer trading jobs
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