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Active in both centralized and decentralized finance, BitGo offers market leading trading, lending, and borrowing services through its prime brokerage services and acts as the custodian for WBTC, the leading global stablecoin for Bitcoin.
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Familiarity with trading agreements (e.g., prime brokerage and ISDA agreements) is a plus. As Corporate Counsel, you will work closely with all members of the Legal and Compliance Department and gain broad exposure to the firm’s trading, research, investor relations, finance, human resources, and operations groups.
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This role is a means to make a difference you will share responsibility with a skilled team for all legal and compliance aspects of the firms operations. Manage general corporate matters and, as necessary, oversee the work of outside counsel (e.g., trading, contract, securities law, corporate governance, real estate, tax, and employment-related matters.
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B. Riley operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction and liquidation services.
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FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
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The team works in concert with the investment and teams within XIG, and with functional teams across the AWM division including Central Trading, Fund Accounting, Operations, Technology, Legal, and Compliance.
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Our Capital Introductions, Business Consulting, Swaps and Risk teams each play a critical role in the day-to-day management of hedge fund operations, positioning our clients to raise new capital and effectively fund their businesses.
$85,000 - $125,000 a year depends on experienceFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Since spinning out of a large brokerage firm in 2016, DV Trading has rapidly scaled as an independent proprietary trading firm utilizing its own capital, trading strategies, and risk management methodologies to provide liquidity to worldwide financial markets and hedging opportunities to commodity producers and users.
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Fidelity Investments is one of the world s largest providers of financial services and offers investment management, retirement planning, brokerage, human resources, and benefits outsourcing services to individuals and institutions.
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Operations identifies and resolves differences between our internal data and the data represented by prime brokerage, clearing, custodian, and fund administrator platforms used to settle, clear, and custody our positions and administer our funds in a timely manner.
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Essential Job Functions:Provides strategic advice on complex reporting and technological issues raised by the MRTS business units, Regulatory Services Management (“RSM”) team, Regulatory Operations teams, and other FINRA customers, as applicable.
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Your role with Prime Brokerage Operations provides opportunities to excel at serving our institutional client base. Operations Securities Division Operations Prime Brokerage & Clearing Operations Custody Services VP Manager Salt Lake City.
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Collaborates with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal) Back Office brokerage operations processes and procedures. Regulatory Operations Analyst | Nonfinancial Regulatory Reporting | Financial Licensing Required - 2400718.
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The Customer Service Specialist, Carrier Sales is an integral part of the DSV Road US team's freight brokerage operations. DSV aspires to lead the way towards a more sustainable future for our industry and are committed to trading on nature's terms.
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The Director provides timely and meaningful feedback to the Surveillance and Market Intelligence function of Market Regulation, as well as fosters positive and effective working relationships with the Enforcement Department and other Regulatory Operations (RegOps) partners.
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