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The ideal candidate will have extensive expertise in banking operations, Broker Dealer and Swap Dealer regulations (including the global impact of relevant U.S. regulations), compliance with regulations, and a deep understanding of front office sales and trading operations.
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Lead back and middle office operations including implementing policies, procedures, controls; overseeing day-to-day operations; and ensuring systems/processes are meeting the business needs of the Financial Advisors.
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Responsibilities and DutiesAs part of our strategic expansion plan for our Chicago office, we are actively seeking for an options trader who will play a pivotal role in executing and managing options trading strategies.
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3+ years' experience with Back Office Operations working for either a Prime Broker, Administrator, Hedge Fund, Mutual Fund, Investment Advisor or Financial/Retirement Planner. Associate Manager, Middle Office Operations.
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This role will work with the Manager of Operations to oversee the day-to-day activities of the back and middle office including Financial Advisor onboarding, systems administration, billing/commissions, money desk, and vendor management of outsourced services/systems.
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The Compliance Director position is a senior role within the Wealth and Brokerage (W&B) Compliance team, responsible for providing compliance leadership and counsel on regulatory and compliance requirements related to the Fidelity Brokerage Services (FBS) broker-dealer.
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Join the middle office operations group team and assist in providing clients with portfolio pricing, trade allocation, confirmation, correction and settlement, prime broker interfaces, repo processing and cash management.
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Commit to taking and passing the FINRA SIE exam and Series 99 exam within 3 months of employment and becoming affiliated with our broker-dealer (will required a background check). This role will involve close association with our broker-dealer to ensure strict compliance with financial regulations and standards.
$125,000 a yearFull-timeExpandApply NowActive JobUpdated 14 days ago - UpvoteDownvoteShare Job
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Understanding of Middle/back-Office Operations: Demonstrate a good understanding of middle/back-office operations, including concept and systems around payments and transfers for traditional and crypto-based solutions.
$170,000 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Experience/background in compliance applicable to broker-dealer internal inspections, institutional trading & sales, investment banking, commercial banking, investment management, and corporate functions within investment or commercial bank or institutional broker-dealer is preferred.
$159,100 a yearFull-timeExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Brokerage industry experience, preferably in trading or middle/back-office operations. The Prime Services Middle Office team handles all aspects of support for Fidelity s hedge fund investment manager client base.
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3-5 years' experience with Allegro architecture (front, middle, back office modules), Right Angle, Endur, or similar top-tier ETRM system with experience implementing enhancements, patches and/or upgrades.
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Assist the Chief Compliance Officer generally with FINRA and broker-dealer related compliance questions and issues as they arise. Brown Gibbons Lang (BGL), a leading independent investment bank focused on the global middle market, is seeking a full-time In-House Counsel to assist our rapidly growing organization.
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Requirements: 8+ years of Broker Dealer Compliance experience. A broker dealer and investment bank is seeking a Head of AML to run the day-to-day execution of the financial crimes program covering the operations of the broker dealer, research, M&A, and investment banking.
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10+ years of experience in capital markets and strong knowledge & understanding of global equity trading by a US broker dealer entity. - Will have direct communication with trading desks (SWAPs Desk, Derivatives Desk, Cash Desk, Program Trading, DMA and Algo trading for SWAPs, Derivatives and Cash Equities) End to End Workflows, Lifecycle risk management, Operations, Middle Office, Reg/Compliance, Client Services, as well as various internal technology teams to support current businesses and build out new application/system/modules.
$200,000 a yearFull-timeExpandApply NowActive JobUpdated 11 days ago
trading broker dealer middle office jobs Company: Stifel Financial Corp
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