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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.
ExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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Experience with institutional broker-dealer or investment bank. Our environment consists of vendor applications, data feeds, and internally developed custom applications and databases for workflows, analytics, and reporting for our Sales, Research, Trading, Compliance and Operations areas as well as our Investment Banking & Capital Markets areas.
ExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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The FMR LLC Legal Department has a unique opportunity for an innovative attorney to join our Wealth and Brokerage legal team as Legal Counsel, Broker-Dealer Regulation. You will support ongoing broker-dealer operations, providing analysis of applicable financial services related-law, rules, and regulations, including FINRA Rules, Securities Exchange Act of 1934, and Regulation Best Interest.
$103,000 - $218,000 a yearFull-timeExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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The Broker-Dealer Accounting/Regulatory Reporting team of Bernstein Institutional Services is in search of a manager, Broker Dealer Accounting and Reporting to join their newly formed U.S. Controller's team.
Full-timeExpandApply NowActive JobUpdated 21 days ago - UpvoteDownvoteShare Job
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Developing and managing broker-dealer relationships. The Fixed Income Trader will be a critical member of the trading team, focusing on the fixed income trading effort across cash and government-related markets.
$155,000 - $185,000 a yearFull-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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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.
Full-timeExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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This role will serve as the Deputy Commercial Broker Dealer Compliance Officer supporting three institutional FINRA registered broker dealers and additionally providing a compliance support role for the Capital Markets line of business, a division within the Commercial Bank of Capital One, as necessary.
Full-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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Experience in the areas of account opening, trading platforms, application of artificial intelligence (AI) technology, cryptocurrency, and advanced analytics and planning experiences is appreciated.
$218,000 a yearFull-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Apex Capital Holdings, LLC is an associated member of T3 Trading Group, LLC. T3 Trading Group, LLC is a registered SEC broker-dealer and member of the FINRA SIP. This is a unique chance to leverage your existing financial expertise and gain in-depth, hands-on experience in trading through our Equity Trader Training Program.
ExpandApply NowActive JobUpdated 17 days ago - UpvoteDownvoteShare Job
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Experience working in either retail or broker dealer environment with knowledge in the areas of Sales and Trading, middle office, and back office operations. Experience in full service sell side broker deal environment with focus on Research, Equity Sales/Trading and Fixed Income preferred.
ExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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Center 2 (19050), United States of America, McLean, VirginiaCommercial Broker Dealer Compliance Advisor - Senior Manager. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., FINRA, NASDAQ and SEC.
Full-timeExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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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.
ExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986.
Full-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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The Global Markets Regulatory Compliance (GMRC) Advisory Vice President is responsible for providing advice on Swap Dealer and Broker Dealer regulations (including the global impact of relevant U.S. regulations) and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support functions.
ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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You will focus on providing day to day accounting, financial analysis and reporting, and commission payout calculations for our Institutional Sales & Trading as well as our Wealth Advisory groups.
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