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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 6 days ago - UpvoteDownvoteShare Job
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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.
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Accountable for achieving sales targets and managing broker dealer relationships within all channels - both wirehouses and independent firms covering our ETF's, Separately Managed Accounts and Mutual Funds.
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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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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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Competence using eLearning development tools (Articulate Storyline, Adobe Captivate, etc.) Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment.
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Establishes and maintains external relationships with product / service vendors and industry forums Represents FINRA at Industry working groups or panels sponsored by other Industry leaders such as SIP, DTCC or SIFMA. Evaluates new technologies, techniques, and tools.
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The Senior Litigation Counsel works under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC.
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Evaluate firms' pre-trade financial, erroneous and regulatory risk management controls to assess compliance with SEC Rule 15c3-5 in equity, options, fixed income and/or other SEC regulated products traded on an Exchange or Alternative Trading System (ATS.
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Demonstrate an understating of a firm's trading activity, financial and regulatory risk management controls, order and execution management systems, and order lifecycles in connection with its market access activities.
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We have an exciting opportunity for a Senior Vice President, Appellate, OGC: The Senior Vice President—Appellate (SVP) leads and manages the office that supports the National Adjudicatory Council (NAC) in deciding disciplinary cases, membership applications, statutory disqualifications, and exemptive requests.
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Join the middle office operations group team and assist in providing clients with portfolio pricing, trade allocation, confirmation, correction and settlement, prime broker interfaces, repo processing and cash management.
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Elite Trading Community: Engage with a network of professional traders for live trade discussions, market analysis, and real-time trade ideas. Fund your Trading Strategy: Prop traders can receive access to firm capital for superior leverage.
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DV Energy is a rapidly growing division that specializes in trading crude oil, refined products, natural gas, and related energy markets across US, Europe, and Asia. Our proprietary risk management and trading methodologies along with a strong ability to adapt to changing conditions has allowed DV Energy to grow into one of the largest financial participants within the global energy complex.
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