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Manage customer onboarding and KYC for Capital One Financial Broker Dealers Manage manual screening processes (Bridger Web) Escalation point for Broker Dealer, Investment Bank, Sales, Research and Trading and Mergers & Acquisitions onboarding questions.
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Leerink Partners is a leading investment bank providing a complete suite of financial solutions comprising M&A advisory, equity, debt, and derivative capital markets, equity research, and sales and trading capabilities.
$110,000 - $125,000 a yearFull-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Focus on financial organizations that address SEC, CFTC, FINRA, NFA OCC and other regulatory requirements for retail and institutional broker dealer compliance, capital markets, banking, swap dealer trading, investment management, and investment advisor compliance.
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This role will support three institutional FINRA registered broker dealers and provide compliance support the Capital Markets line of business, a division within the Commercial Bank of Capital One, as necessary.
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Center 2 (19050), United States of America, McLean, VirginiaCommercial Broker Dealer Compliance Advisor - Senior ManagerThe Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer.
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Société Generale’s and Bernstein Research Services’ clients, including corporate and financial institution issuers as well as institutional investors, this newly created joint venture would offer a comprehensive global suite of world-class services across cash equities and research, combined with Société Generale’s integrated equity capital markets, equity derivatives and prime services platforms.
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1-2 years in Broker-Dealer compliance experience, capital markets compliance or regulatory experience. Oppenheimer & Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker-dealer.
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In its role as a major Broker Dealer, WFS provides market liquidity in Foreign Exchange Markets on continuous basis for its global customer base in US, EMEA & APAC regions. In this role, you will:Wells Fargo Securities (WFS) is the Capital Market and Investment Banking division of Wells Fargo Bank, NA.
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Penserra Capital is an SEC registered Investment Adviser, also registered as a Commodity Trading Adviser with the CFTC and a member of the NFA, with approximately $11 billion AUM. Penserra Capital Sub-Advises 3rd party Exchange Traded Funds (ETFs), focusing on the implementation aspect of 3rd party investment strategies in 3rd party ETFs. Penserra Capital is part of the Penserra group of companies which includes an affiliated broker dealer and a state registered investment adviser.
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We have been operating in North America for over 100 years, providing a client-focused approach for global businesses with strong links to the UK. Our New York operations provides a gateway between the UK and North America for financial institutions and large corporate clients, offering core banking products such as lending, trade finance and a range of debt capital and financial markets services through our US broker dealer, Lloyds Securities Inc.
$150,000 - $190,000 a yearFull-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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The successful candidate must have experience with ETFs along with a strong understanding of capital markets, portfolio analytics, and investment research, along with a consultative and client-centric business development approach.
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Noble Capital Markets, a full-service SEC/FINRA registered broker-dealer dedicated exclusively to serving emerging growth companies for 40 years, is looking for an experienced Managing Director - Valuation Analyst to grow our valuation and opinion practice.
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Our strategy focuses on continuing to build out our investment banking effort, enhancing our capital markets businesses and further developing our Leucadia Asset Management alternative asset management platform.
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SummaryThe Structured Products Trader is a key member of the National Life Capital Markets team responsible for trade idea generation, modeling, and execution across National Life’s structured products investment portfolio including CLOs, CMBS, RMBS, and ABS markets.
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Familiarity with broker-dealer regulation, Dodd Frank, Reg AB, CFPB, state and federal regulators, lending, bankruptcy, and with various fixed income and derivative products. Strong substantive knowledge and significant experience in structured finance and capital markets including financing, asset acquisition and securitization transactions.
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