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The Digital Platform Sales Director role is responsible for driving results within the RIA and Broker Dealer channels. The Digital Platform Sales Director role is responsible for driving results within the RIA and Broker Dealer channels.
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The firm is a broker-dealer registered with the United States Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority. 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.
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RJA serves as a clearing broker-dealer and custodian for many of our affiliated broker dealer/ investment advisor subsidiaries, including RJFS and RJFSA. Additionally, RJA provides trade execution, custody, and clearing services to non-affiliated registered investment advisers and introducing broker-dealers through its RIA & Custody Services Division (RCS.
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We are looking for a Director of Regulatory Reporting, a leadership position within the team that is responsible for ensuring the overall integrity of trade and position reporting submitted to the regulators for the Fidelity Broker-Dealers, National Financial and Fidelity Brokerage Services, as well as for correspondent client broker-dealer firms.
$85,000 - $144,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Perform audits of Broker Dealer and Global Markets activities and its products including trading, sales, risk management, operations and compliance functions to ensure compliance with policies and SEC, FINRA and CFTC regulations.
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The Futures and Derivatives Group works closely with lawyers in our Blockchain & Cryptocurrency, Bank Regulation and Enforcement, Broker-Dealer Compliance and Regulation, Investment Management, Securities Enforcement, and Securities Litigation Groups.
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RJA is an investment adviser and full-service broker-dealer dually registered with the Securities and Exchange Commission. RJA also is a member of the Financial Industry Regulatory Authority, the National Futures Association, and the NYSE.RJA's services include: private client; institutional equity and fixed income institutional sales; investment banking; trading activities; and operations and administration.
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Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (Member SIPC), offers investment services and products, including Schwab brokerage accounts. Independent Branches, led by a Schwab franchisee and staffed by employees of the franchisee, help individuals and families with their financial needs, including retirement planning, investing, protection planning, charitable giving, estate planning, and active trading solutions.
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Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products. The Charles Schwab Corporation provides a full range of brokerage, banking and financial advisory services through its operating subsidiaries.
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Work at an in-house legal department with a focus on broker-dealer and trading matters. Deep knowledge of broker-dealer regulation with a particular depth of knowledge regarding retail brokerage issues, including margin, options, and securities lending.
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In addition to serving as a general point of contact for employees based in the Fort Worth Office, specific responsibility areas for this role in the U.S. Regulatory Compliance Program over time may include other areas, such as marketing and disclosures, trade surveillance, broker-dealer regulations, testing information security, privacy, AML/KYC and training.
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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.
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In-depth knowledge of U.S. securities laws and broker-dealer rules and regulations pertaining to trading and transaction reporting. + Advising the business on SEC, FINRA, MSRB and SRO laws, rules and regulations, with a particular focus on broker-dealer rules and regulations applicable to transactions with retail investors.
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Job Description - Junior Retirement Plan Consultant - NWPS (2401017) At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
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Prior experience advising U.S. broker-dealers on sales and trading businesses is required. Advising the businesses on CFTC rules and regulations and ISDA transaction documentation. Providing secondary legal support to Merrills Equities and FICC OTC derivatives businesses.
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