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The ideal candidate will have extensive expertise in banking operations, Broker Dealer and Swap Dealer regulations (including the global impact of relevant U.S. regulations), compliance with regulations, and a deep understanding of front office sales and trading operations.
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4+ years experience with Back Office Operations working for either a Prime Broker, Administrator, Hedge Fund, Mutual Fund, Investment Advisor or Financial/Retirement Planner. Providing middle and back office support for the following products: equity, fixed income, swaps, bank debt, contract for differences, futures, commodities, options, FX, mortgages and repos.
$70,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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M&T Securities, Inc. (MTS), a wholly owned subsidiary of M&T Bank Corporation provides institutional broker dealer services focused on supporting corporate clients through such offerings as institutional brokerage and securities underwriting.
$229,962.03 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Maxim Group, a full-service, mid-size broker dealer and investment bank with primary offices in midtown Manhattan, is looking to fill the role of Head of the Firms AML Department and Anti Money Laundering Officer following the retirement of the Firms outgoing AMLO.
$170,000 a yearFull-timeExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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Entity Overview: Lloyds Securities Inc. (LSI), a broker-dealer registered with the Securities and Exchange Commission (SEC), and FINRA member firm, is the U.S. securities arm of Lloyds Bank Corporate Markets, plc UK (LBCM plc UK.
$230,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Prior management, Registered Investment Advisor and Broker Dealer experience required. Lead back and middle office operations including implementing policies, procedures, controls; overseeing day-to-day operations; and ensuring systems/processes are meeting the business needs of the Financial Advisors.
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Responsibilities and DutiesAs part of our strategic expansion plan for our Chicago office, we are actively seeking for an options trader who will play a pivotal role in executing and managing options trading strategies.
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Commit to taking and passing the FINRA SIE exam and Series 99 exam within 3 months of employment and becoming affiliated with our broker-dealer (will required a background check). This role will involve close association with our broker-dealer to ensure strict compliance with financial regulations and standards.
$125,000 a yearFull-timeExpandApply NowActive JobUpdated 15 days ago - UpvoteDownvoteShare Job
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Extensive experience with supporting investment research, portfolio management and trading; good hands knowledge about market movement & sentiment analysis, portfolio optimization, security or factor-based investment strategy, cash flow analysis, or algorithmic trading.
$230,000 a yearFull-timeExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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When owners and managers of institutional assets need research, trading, securities lending and innovative portfolio strategies, they turn to SSGM. As our investment research and trading arm, SSGM's number one goal is to enhance and preserve our clients' portfolio values by applying technology, optimizing trading, and linking asset classes and markets across the world.
$210,000 a yearFull-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients. The specific product Fund Connect is State Street's market-leading global electronic trading platform for Money Market Funds, Primary Market ETFs, Liquidity Instruments and Investment Funds.
$210,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today and in the future. The Lead Portfolio Investment Analyst (PIA) resides within the Investment and Trading Solutions group and is a member of the Global Trading team.
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This attorney will advise business partners and stakeholders regarding litigation risks and opportunities in the oversight and management of litigation and other legal disputes, including matters arising out of broker-dealer and investment advisor issues, group retirement products, life insurance, and structured products.
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Minimum 5 years trading experience in delta one at investment banks or hedge funds, skilled in ETF Arbitrage. AP Capital is looking to further enhance and diversify our world class trading team by hiring an NYC based ETF Crypto Trader.
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Provide superior customer service to broker dealer/registered investment advisor. The Investments TSMO Specialist I is primarily responsible for providing operational support and exceptional customer service to the bank’s affiliated broker dealer and registered investment advisor.
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