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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 1 month ago - UpvoteDownvoteShare Job
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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.
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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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Knowledge of investment adviser, broker-dealer, and/or other securities and commodities regulations, preferably with a focus on fintech companies. Meticulous attention to detail and exemplary research and analytical skills related to SEC and CFTC regulation and enforcement.
$260,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries, including Northwestern Long Term Care Insurance Company (NLTC), Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank.
$200,000 a yearExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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With access to our broker-dealer and top insurance carriers, Futurity First advisors are able to provide independent planning strategies and recommendations to their clients. We are seeking for an Insurance Advisor | Health, Life Sales | Local & Remote-Work from Home to join our team.
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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 12 days ago - UpvoteDownvoteShare Job
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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
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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.
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T3 Trading Group, LLC is a Registered SEC Broker-Dealer and a Member of FINRA and SIPC. Since 2007, we have supported thousands of professional licensed traders across the United States.
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Specifically, you will focus on developing and maintaining relationships within our broker-dealer channel that will drive revenue growth and expand opportunities. Experience working with broker-dealers, encompassing both retail and institutional business models.
Full-timeExpandApply NowActive JobUpdated 13 days ago - UpvoteDownvoteShare Job
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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 13 days ago - UpvoteDownvoteShare Job
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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.
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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 29 days ago - UpvoteDownvoteShare Job
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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.
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broker dealer jobs in Washington, DC
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