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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.
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Hold Brothers Capital, LLC, is a FINRA Registered, SEC, Self-Clearing Broker Dealer. Retail “Pattern Day Traders” are not required to be registered, and licensed with our broker-dealer.
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Exposure to hedge fund and/or broker dealer structures. Assist the US Legal Counsel with broker requests for setting up and maintaining trading relationships. Assist with the day-to-day running of the US Legal Department (including conducting legal research, responding to various legal inquiries from the business, and escalating issues to the relevant teams) supporting the US proprietary trading and market making businesses.
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Bachelor's Degree and 1 year of experience in Sales and Banking including Securities Trading OR High School Diploma or GED and 5 years of experience in Sales and Banking including Securities Trading License or Certification Type: Possess valid Series 7, 63, 65 or 66, and state-specific life and health insurance licenses Required Skill(s): Understanding of back office roles for a broker dealer.
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The business unit compliance team provides advice and guidance, addresses business specific issues, and drafts business policies and procedures tailored to Bain Capital, including supporting Investor Relations and Bain Capital’s affiliated broker-dealer.
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Market Citi-ONE ATS platform to sell side & broker dealer platforms. Platform & Electronic Sales is responsible for the marketing and distribution of all Equities and Equities-related trading products at Citi across Cash, Derivatives, Delta One and Prime.
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7+ years financial industry experience within a U.S. regulated financial institution, specific work experience with broker-dealer federal and state regulations related to insider trading and/or conflicts of interest.
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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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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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Knowledge of broker-dealer regulatory compliance including FINRA, NYSE and SEC regulations. Perform risk-based assessment of algorithmic trading logic as it relates to regulatory risk.
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Penserra Capital is an SEC registered Investment Adviser, also registered as a Commodity Trading Adviser with the CFTC and a member of the NFA, with approximately $11 billion AUM. Penserra Capital Sub-Advises 3rd party Exchange Traded Funds (ETFs), focusing on the implementation aspect of 3rd party investment strategies in 3rd party ETFs. Penserra Capital is part of the Penserra group of companies which includes an affiliated broker dealer and a state registered investment adviser.
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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.
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While approaching almost 700 employees including registered reps (affiliated with the broker dealer), they have a need for someone to join at Senior Associate or VP level who can handle Code of Ethics for the firm, including implementing certain aspects of Code of Ethics, inputting data for it in ComplySci and managing that database, clearing trades that haven't been cleared, and also evaluating certain code of ethics and advising employees on it (educating.
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T3 Trading Group, LLC is an SEC-registered broker-dealer & member of FINRA/SIPC. We are recruiting experienced proprietary traders and seasoned active trading professionals looking to make the next investment in their career.
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