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Prior experience managing legal and compliance teams, preferably with a broker dealer, self-regulatory organization, or a federal securities or commodities regulator. 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.
$200Full-timeExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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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.
$120,500 a yearFull-timeExpandApply NowActive JobUpdated Today - 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 1 month ago - UpvoteDownvoteShare Job
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Tastylive, founded in 2011, is an online financial media network, tastytrade (previously known as tastyworks) is a self-directed retail brokerage firm that launched in 2017, tasty Software Solutions and IG US, is a registered Forex broker-dealer.
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The Senior Legal Counsel (Financial Services) role is primarily responsible for advising senior management and working closely with compliance staff on projects relating to the operations of a multi-asset brokerage business, including a broker-dealer, FCM (futures commission merchant), registered swaps dealer, OTC (over-the-counter) energy brokering and others operating in North America.
$200Full-timeExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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Experience selling in the Financial Advisory / Wealth Management space (RIA, broker-dealer, bank). Access to virtual mental health care (Spring Health), vision related benefits (XP Health), and health concierge (Rightway) to help you find the right care.
$200,000 - $300,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC as a registered Futures Commission Merchant (FCM). The Broker Dealer Accountant will play a critical role in ensuring the financial integrity of the firm's financial operations.
Full-timeExpandApply NowActive JobUpdated 6+ months ago - UpvoteDownvoteShare Job
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You will be responsible for all acquisition/transaction-based technical accounting review, documentation, and financial recordings in accordance with GAAP. You will have full ownership of the financial reporting cadence, inclusive of SEC-type quarterly reporting for investors and debtholders, and regulatory requirements under FINRA (broker dealer) and the OCC (trust operations.
Full-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Phillip Capital Inc. is a growing SEC registered securities self-clearing broker-dealer and Futures Commission Merchant (FCM) firm based in Chicago. 5+ years of experience in a self-clearing broker-dealer with focus on equity securities.
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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 interested in joining the firm's General Counsel office in Greenwich, CT, Chicago, IL or Washington, DC.
$150Full-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Are you a motivated enforcement attorney with experience in commodities, securities, and broker-dealer issues? JDHuntr is seeking a talented individual to join our General Counsel office in Chicago, IL, Greenwich, CT, or Washington, DC. As part of our team, you will handle regulatory inquiries from the SEC, FINRA, CFTC, NFA, and other regulatory authorities.
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A sound understanding of the Broker/Dealer and RIA marketplace. Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. The Wealth Management Advisor focuses on driving deeper relationships with clients by developing comprehensive financial plans and wealth strategies intended to plan for future goals and cash flow needs through a sound and efficient savings, investment, and tax strategy.
Full-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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Knowledge of Bank Regulations, Broker-Dealer risks, and regulations (including Dodd Frank). Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
$100,000 - $125,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Bachelor’s Degree strongly preferred with 3-5 years in a broker/dealer, RIA Back Office. Basic knowledge of Broker-Dealer and/or Advisory operations. Zacks Trade is an online broker serving active stock and option traders located in US and overseas.
Full-timeExpandApply NowActive JobUpdated 25 days ago - UpvoteDownvoteShare Job
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Our client, a growing broker dealer is seeking a knowledgeable and detail-oriented FCM Compliance Advisory Specialist to oversee our compliance program and ensure adherence to regulatory requirements for our Futures Commission Merchant (FCM) operations.
$125,000 - $145,000 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago
broker dealer jobs in Chicago, IL
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