- UpvoteDownvoteShare Job
- Suggest Revision
Advanced knowledge related to SEA Rule 15c3-1, SEA rule 15c3-3, SEA Rules 17a-1 through 17a-5, as well as back-office clearance and operations, including settlement and custody, understanding of customer and firm trading account activity and related statements, independent asset and price verification, stock record, cash/security position reconciliations, and various broker dealer business activities a plus.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Familiarity with broker-dealer regulation, Dodd Frank, Reg AB, CFPB, state and federal regulators, lending, bankruptcy, and with various fixed income and derivative products. Advise trading desks on secondary sales/trading of RMBS, CMBS, ABS, CLO and other fixed income securities.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
As a member of the SSGA senior most Operating Group, Executive Management Group and Senior Leadership Team as well as the Corporate Compliance function, provide collaborative compliance technical advice and consulting as a subject matter expert to the SSGA Chief Executive Officer, Global Corporate Chief Compliance Officer, and advisors across all SSGA functions, including sales, product, broker-dealer, investments, and trading.
Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Broker Dealer Compliance; and, Risk Management, Sales and Trading Operations; Data and Analytics in a Sales and Trading business. Broker Dealer Compliance; and, Our team helps organisations improve their customer interface, service delivery, and middle and back office operations.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator. An ideal candidate will leverage their prior experience in sales and trading, strategist, market risk, product controllers, legal, or audit to investigate whether activities and practices comply with policies and regulations and the firm’s compliance control infrastructure.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Focus on financial organizations that address SEC, CFTC, FINRA, NFA OCC and other regulatory requirements for retail and institutional broker-dealer, capital markets, banking, swap dealer trading, investment management, and investment advisor compliance.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Dealer-board / Turret technologies (IPC Unigy, Broker lines, hoot bridges) Desirable but not required - product inductions and training will be provided. Purpose: act as a Support Engineer for all Voice Recording and Trader Platforms focusing on management and product monitoring, health checks delivery, technical support and testing of the Trading Voice and Voice Recording infrastructure.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
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.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Certified Financial Planner (CFP) certification required. Oppenheimer & Co. Inc.s Private Client Division is currently seeking a Registered Client Service Associate for their Bellevue branch office. 5+ years experience working as a sales assistant/CSA in a corporate/brokerage environment.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
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.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
At least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM. Experience in a compliance testing or audit role is strongly preferred.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
- Suggest Revision
The successful candidate will have extensive knowledge of the financial intermediary landscape (broker/dealer and RIA firms, trading IDs, advisor teams, dual-registered advisors, etc.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Experience representing underwriters, issuers, sponsors and/ or managers in a wide range of CMBS, RMBS, CLO, consumer loans and other asset-backed financings, consisting of registered public offerings, exempt transactions and international and domestic offerings.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Build relationships with the broker/dealer community to obtain valuable bids and offers from them, facilitate improved new issue allocations, market intelligence and act as a point of contact for the platform.
Full-timeExpandApply NowActive JobUpdated Today
trading broker dealer jobs
FEATURED BLOG POSTS
5 Ways to Measure Candidate Experience
Your candidate experience is made up of 4 essential parts
How to Stall a Job Offer Politely
You did it! After several weeks of looking for a new job and undergoing grueling interviews, you finally have a job offer. Although this may be very exciting, accepting a job offer means that you’re making a long-term commitment to your future employer. So, even if you’re eager to leave your current job, this isn’t a decision you should take lightly.
How to Get a Job in a New City - Best Tips to Follow
When your dream job posts, will you be ready? What if that dream job was in a faraway city or a different continent…would you move for it? Most of us have dreamed about what it would be like to accept a job in a new place at one time or another. But when it comes to actually making a move, it’s usually the logistical details that give us pause. The key to job searching in a different location is to have a plan.
What is a Policy of Non-Retaliation & How to Create One
Your company probably has many policies in place – anti-discrimination policies, equal opportunity policies, ethics policies, and so on. However, it is important to re-evaluate whether you have a policy that covers every situation. Say for instance one of your employees submit a complaint in good faith to their supervisor. To their surprise, they are met with retaliation, such as demotion, defamation, or even termination.
When to Tell Your Boss You're Job Searching
The Bureau of Labor Statistics has found that individuals, on average, have 12.4 jobs throughout their working life. So regardless of where you are on the career ladder, it’s inevitable that at some point, you’ll begin looking for another job. That said, you might be wondering,
What Questions Can You Not Ask in an Interview?
It can be stressful to interview candidates to fill an open role at your company. Maybe your boss is on you to hire someone who’s absolutely perfect as soon as possible. Maybe you don’t have a ton of experience yet in conducting interviews. Whatever the case, there’s a lot to take under consideration when you’re the one in charge of interviewing. For instance, “What questions can you not ask in an interview?” may very well be running through your mind given its legal ramifications. Knowing exactly which interview questions are off-limits (and which are fine to ask) will boost your confidence as you continue to search for the ideal new hire.
How to Prepare to Be Fired - What You Need to Do
If you’re reading this, let me be the first to tell you how sorry I am. Getting fired feels crappy, disheartening, hurtful, and all the other bad, sad words. But here’s what I want you to do. First, let yourself fumble for a minute. Then, pick your head up — sometimes getting fired is a blessing in disguise. If you think termination is around the corner, we’ll teach you how to prepare to be fired and what to do next so you land somewhere even better.