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Identify, assess, and monitor liquidity risks related to the firm’s broker-dealer and other trading activities (prime brokerage, secured funding, derivatives) In this role, you will interact and partner with business units, corporate treasury, and other risk stripes, to obtain, understand, analyze, and draw conclusions with respect to potential liquidity risk implications within the firm’s broker-dealer business.
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Supervise broker-dealers that service institutional, high-net worth, and/or retail clients that trade in private placements opportunities, equities, corporate/municipal bonds, ETFs/mutual funds, options, and margin accounts to ensure the broker-dealer adheres to all Securities and Exchange Commission (SEC), as well as Financial Industry Regulatory Authority (FINRA) rules and regulations.
ExpandApply NowActive JobUpdated 28 days ago - UpvoteDownvoteShare Job
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In this role, you’ll make an impact in the following ways: Responsible for assisting in preparation of daily net capital requirements reports and weekly customer reserve reporting for a full service securities trading broker dealer ( c- and C- reports) Also help in tracking daily trading activities and results to prepare daily accounting trail balance report – showcasing position values of fixed income and equity trading.
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Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor ("RIA") affiliates of Société Générale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and practices with Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance.
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Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full-service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.
$100,000 - $110,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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The ideal candidate will have direct experience with new accounts processing at a registered investment advisor and/or FINRA member broker-dealer. New accounts processing at a registered investment advisory firm or FINRA member broker-dealer.
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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.
$120,500 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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U00A0We 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.
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Mitsubishi’s Diamond Generating acquired BETM from NRG Energy in August 2018, and prior to 2014 BETM was known as Edison Mission Marketing and Trading. Prior FTR Trading Experience preferred either in a trader role or as a trading analyst.
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We are looking for a Network Engineer with experience designing, deploying, and scaling networks for large HPC environments to meet the requirements of a premiere algorithmic trading firm. Our researchers are at the forefront of innovation in the world of algorithmic trading.
$200,000 - $250,000 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Wealth Management offers services through its registered broker-dealer, registered investment advisor (RIA), and insurance agency subsidiaries and is a leading U.S. tax-focused independent broker-dealer that works with a nationwide network of Financial Professionals operating as independent contractors.
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Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company.
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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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As the IT Director for Pre- Trade Applications in Houston, Texas for ENGIE's global Energy Management & Sales you will collaborate with IT leadership in managing all the applications dedicated to enabling the Trading teams to make decisions for power & gas commodity trading and facilitate algorithmic trading.
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Proven experience as a yacht broker or a background in yacht sales. The Yacht Broker is a specialized and client-focused role within our organization, responsible for facilitating the sale and purchase of luxury yachts and boats for discerning clients.
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trading broker dealer jobs Title: staff accountant
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