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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) Experience in Broker Dealer products such as Prime Brokerage, Margin loans, client shorts, Secured Funding and related area is preferred JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P.
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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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Candidates will ideally have 10 years of compliance and legal experience working for a proprietary trading firm, broker-dealer, clearing firm, SRO, or similar organization under FINRA’s purview.
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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.
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FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
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LPL Financial, member FINRA, SIPC, is the clearing broker-dealer for Equitable Advisors, LLC and they are not affiliated. Our broker/dealer powered by one of the world’s largest broker/dealers LPL.
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A Broker/Dealer Compliance Specialist also ensures escalated issues identified during daily correspondence reviews are corrected in a timely and effective manner. Job Description - Broker/Dealer Compliance Specialist (210537.
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Member FINRA/SIPC. CFS is a broker/dealer and Registered Investment Advisor with a stable track record of serving the investment needs of credit unions and their members. CFS (Member FINRA/SIPC) is a broker-dealer and Registered Investment Advisor with a stable track record of serving the investment needs of credit unions and their members.
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7+ years’ experience in accounting and reporting at regulated financial services firms (FinTech, banking, payments, lending, broker dealer, crypto) and/or public accounting experience. We power neo-banks, broker-dealers, and payment groups to offer digital asset trading and custody, crypto-backed rewards and round-up programs.
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The Summit Financial Advisors program is available through a partnership with TruStage and LPL Financial, the largest independent broker-dealer in the U.S. Officially an employee of TruStage, you'll be supported by this strong, combined partnership with over 200 years of experience and the resources of all three highly reputable companies.
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The Compliance Analyst will also be asked to help review marketing materials for Galaxy Digital's broker-dealer and asset management business. Our offerings include, amongst others, trading, lending, strategic advisory services, institutional-grade investment solutions across passive, active and venture strategies, proprietary bitcoin mining and hosting services, network validator services, and the development of enterprise custodial technology.
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We’re looking for a Proprietary Crypto Trader to develop and implement alpha-generating trading strategies within the Cryptocurrency markets. DV Chain, an affiliate of DV Trading, provides world-class cryptocurrency trading and technology and has become one of the world’s leading liquidity providers, arming institutional and professional traders with innovative cryptocurrency solutions.
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The Futures and Derivatives Group works closely with lawyers in our Blockchain & Cryptocurrency, Bank Regulation and Enforcement, Broker-Dealer Compliance and Regulation, Investment Management, Securities Enforcement, and Securities Litigation Groups.
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AAM is a broker/dealer, member FINRA/SIPC and SEC registered investment advisor. Wholesale and Distribute Structured Products to Broker Dealers & RIA’s across the United States. Work with Structured Products Trading & Origination to create new products and custom transactions for advisors.
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