- 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.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Interactive Brokers is looking for a motivated and talented litigation attorney with experience in securities and commodities issues in the broker-dealer and futures commission merchant space, who is interested in joining the firm's General Counsel office in Greenwich, CT, Chicago, IL or Washington, DC.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Products and solutions Together with its subsidiaries, New York Life provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds (1) through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
How you can wow us: A strong finance background, specifically in M&A/Integrations/Conversions as well as familiarity independent broker dealer operations. 1) 5+ years experience as a Project Manager within broker dealer environments.
$80 an hourFull-timeRemoteExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Prefer familiarity with securities and broker-dealer issues. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Preferred Certifications:Certification or coursework in securities law, investment adviser regulation, or broker-dealer compliance is advantageous. Possess knowledge of investment adviser, broker-dealer, and other securities and commodities regulations, with a focus on fintech companies.
Full-timeExpandApply NowActive JobUpdated 13 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Client Service Associate (Washington D.C)Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full-service broker-dealer. Qualifications:Some experience working in Finance/Broker-Dealer/Investment background is preferred.
$65,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
- Suggest Revision
Meet with various Broker Dealers and prospective Broker Dealer clients. CXG is a top-tier Principal outsourcing, and full-service compliance firm, servicing FINRA regulated broker-dealers across the U.S. We are one of the few firms that provide fully outsourced principal solutions, in addition to regulatory consulting, CCO & FINOP outsourcing, and CMA - 1017 services.
Full-timeRemoteExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Regulatory risks associated with IFC’s market conduct and mobilization activities, broker/dealer and investment advisor standards that should apply to IFC as an international organization, Treasury activities and the regulatory aspects of IFC’s privileges and immunities.
Full-timeExpandApply NowActive JobUpdated 13 days ago - UpvoteDownvoteShare Job
- Suggest Revision
The ideal candidate will be a self-starter who is detail oriented and has retail or institutional broker dealer experience. B. Riley operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction and liquidation services.
$80,500 a yearFull-timeExpandApply NowActive JobUpdated 14 days ago - UpvoteDownvoteShare Job
- Suggest Revision
As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. Understanding broker/dealer landscape.
$162,000 a yearFull-timeExpandApply NowActive JobUpdated 30 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Possess one to three years of experience with regulatory matters in the financial services space (e.g., broker-dealer, investment adviser, retirement/Title I of ERISA). Morgan Lewis is seeking two associates, one junior with one to three years and one midlevel with four to five years of large law firm experience to join our investment management practice, with a focus on the regulation of retail investment advice.
Full-timeExpandApply NowActive JobUpdated 11 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Minimum 2 years of financial services experience in an investor services-facing role – private equity, fund sponsor/administration, wealth management, or broker/dealer preferred. Minimum 2 years of financial services experience in an investor services-facing role – private equity, fund sponsor/administration, wealth management, or broker/dealer preferred.
Full-timeExpandApply NowActive JobUpdated 14 days ago - UpvoteDownvoteShare Job
- Suggest Revision
The Sector Compliance Team focuses on services to 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.
Full-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
- Suggest Revision
The preferred candidate will have worked at a broker/dealer, swap dealer, capital markets regulator, law firm, consulting company, or trade association. This role will support Citi’s capital markets regulatory advocacy efforts by analyzing, developing, and promulgating strategic approaches in connection with proposed and adopted standards, regulations, and guidance from the SEC, CFTC, FINRA, and other international regulators and standard setting organizations.
$300,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago
broker dealer jobs in Washington, DC
FEATURED BLOG POSTS
Why is Non-Verbal Communication Really Important?
In a world where words and phrases rule daily communication, you may wonder why non-verbal communication is important. Whether you realize it or not, you communicate more with nonverbal actions than you do with verbal communication. When you interact with your peers, people are reading your body language, facial expressions, voice, and many other factors that help fill in blanks that words can't fill.
7 Importances of Organizational Culture and How to Build It
The world of work has drastically changed in the past few years. Where a good salary and a nice office might have been enough to attract talent in the past, employees today expect flexibility, growth opportunities, and a healthy work environment. In fact, 77% of applicants say they’d consider a company’s culture before applying for a job.
Collaborative Recruiting: The Key to a Better Talent Acquisition Strategy
Talent acquisition is a multi-stage process where candidates undergo various application steps before getting hired. The unfortunate reality is that it is a labor-intense system, with the hiring manager and recruiter often handling all of the work on their own. Ask any one of them, and you will hear about the overabundance of applications and the demanding task of filtering through them to find the best candidates. The quality of talent suffers under the weight of all that work on one person's hands. It's not easy, but as many companies are starting to realize, there is a better way. The future of talent acquisition lies in collaborative recruiting!
4 Talent Acquisition Trends Going Into 2023
For better or worse, a side effect of the COVID-19 pandemic was a marked shift in talent acquisition practices worldwide. With the struggle to retain talent that began in 2020, companies have had to rethink recruitment strategies. The result has been new talent acquisition trends that are well on their way to becoming commonplace. These are the practices that are going to become even more widespread going into 2023.
Why is Professionalism Important & How to Be Professional
You might have heard the word professionalism thrown around in the workplace, but do you know what it means? And do you know how to maintain professionalism no matter the circumstances?
Why Cover Letters Are Important & How To Write One | Job\Searcher
Most people completely waste their cover letter real estate. Your cover letter is another opportunity to speak directly about how your background and capabilities align with the opportunity you seek. It also allows you to introduce your personality a bit more than a resume does. So, why are cover letters important? Because you can stand out, big time, with a custom cover letter directed to the right person.
Hiring Again After Mass Layoffs
It's never an easy decision to let members of your staff go, but depending on the state of your business, mass layoffs may have been the only way to survive. Now that you're months into the future, you may find yourself itching to start hiring again after previous layoffs.