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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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Houlihan Lokey (NYSE:HLI) is a global investment bank with expertise in mergers and acquisitions, capital markets, financial restructuring, and valuation. Two to five years of relevant broker-dealer and/or investment banking compliance or regulatory experience.
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Support Division Controller and leadership team to achieve division goals and objectives, including the annual operating plan, long range strategic plans, capital investments and other ad hoc projects.
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Minimum of 5 years of experience as a Client Service Associate with knowledge of Charles Schwab or another Broker Dealer. Callan Capital is a boutique independent wealth management firm providing comprehensive solutions to wealthy families, endowments and foundations.
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Founded in 2014, the company is backed by Social Capital, Digital Currency Group, Khosla Ventures, DHVC, Haystack, Blockchain Capital, Y Combinator, and executives from PayPal and Airbnb.
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Our Capital Markets (CM) business is an established derivatives dealer with a broad product portfolio, with specific emphasis on interest rates and foreign exchange. SMBC Capital Markets is an interest rates derivatives trading company based in New York City, with offices in London and Hong Kong. We are a subsidiary of Sumitomo Mitsui Banking Corporation (SMBC), one of the leading global banks in Japan.
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This role will be part of the data strategy team spanning across the SMBC Capital Markets and Nikko securities teams, SMBC Americas Division's broker-dealer and swap-dealer entities.
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Arax Investment Partners, a wealth management platform backed by private equity firm RedBird Capital Partners, has acquired U.S. Capital Wealth Advisors, a hybrid broker/dealer and registered investment advisor with $9 billion in total assets across 5,500 clients and 62 advisors.
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Pape’ Machinery, the premier capital equipment dealer in the West, is seeking a highly motivated Rental Coordinator to join their growing team in Okanogan, WA. Pape’ Machinery, the premier capital equipment dealer in the West, is seeking a highly motivated Rental Coordinator to join their growing team in Okanogan, WA.
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The Dealer Inventory Management Analyst position is part of the Dealer Inventory Management (DIM) Analysis NA team within the SML Supply Chain Optimization (SCO) organization. Supply Chain Optimization (SCO) is the function at Service Market Logistics where we enable customer success through an optimized supply chain from suppliers to customers by balancing service levels, tied-up capital, transport cost and performance.
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In operation since 1974, our independently owned organization takes pride in living our mission, to empower the independent auto dealer through working capital and being a trusted partner within the auto industry.
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Knowledge of and familiarity with applicable banking, corporate, and securities laws and regulations, including one or more of the Bank Holding Company Act, Title VII of the Dodd Frank Act, US Basel III Capital Rules and ERISA.
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Providing proactive AML oversight and advice to Capital Markets and Broker Dealer businesses to include Investigations, Suspicious Activity, Transaction Monitoring, EDD, Patriot Act, OFAC and other relevant regulations.
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As a Digital Sales Consultant for Capital One Auto Finance, you will partner closely with a defined set of Automobile Dealerships, providing consultative guidance to help each dealer achieve its operational objectives.
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The #1 Subaru Dealer in America is currently looking for experience Internet Sales Associates to join our team! The #1 Subaru Dealer in America. At our dealership, we value our employees as human capital and an essential part of why we're able to provide our customers with the best.
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