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The US Compliance department carries out Second Line of Defense monitoring of the corporate banking, investment banking and broker–dealer activities across Societe Generale’s US operations, reporting on the compliance risks and issues to local, regional, and head office management.
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Ad Hoc projects as needed in support of broker dealer compliance inside and outside the licensing and registration area. The Licensing Analyst is responsible for the firm's ongoing state registration and securities licenses for Banker Life's Securities and to act as a point of contact and resource regarding FINRA licensing topics across CNO business divisions.
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A minimum of 5 years of experience for Capital Markets or Retail Banks or Asset Management institutions in either business development or sell-side sales, FCM, broker-dealer, trading, buy-side asset management firm, hedge fund, or other related market infrastructure firm OR minimum of 5 years-experience within a leading consulting firm with focus on capital markets or retail banking exposing the candidate to the functions above.
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4-7+ years of hands-on experience in Broker Dealer Operations and/or Market Risk Management. Experience monitoring portfolio stress test results containing all marginable security types (equities, options, futures, mutual funds, and fixed income products) for breaches in risk appetite thresholds.
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At least 5 Years Experience in the Registered Investment Advisor, Broker Dealer or securities industry. With team members based in New York, Chicago and Dallas, the FIG team serves customers anywhere in the US. This experienced team of bankers and former securities industry professionals provide highly specialized services along with focused, personalized service to Securities Broker Dealers, Futures Commission Merchants, Banks, FinTech’s, Trust Companies, and Insurance companies.
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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.
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We are searching for a motivated CCO to lead the Compliance Department of a FINRA registered broker-dealer, and its affiliated SEC registered investment advisory firm. We are searching for a motivated individual to lead the Compliance Department of a FINRA registered broker-dealer firm.
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The ideal candidate will have regulatory and compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or a similar organization.
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Financial Advisors have access to a full range of wealth building, managing and preserving services though the Broker/Dealer, including mutual funds, stocks, bonds, managed accounts, ETFs, REITs, annuities, insurance, and estate planning.
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Guggenheim is seeking an established and successful external sales professional with strong relationships in the wire house and regional channels.
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Tasty live , 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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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.
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The ideal candidate will have experience and strong knowledge on the following: (i) investment market demand and requirements for successful products; (ii) the competitive fund manager landscape; (iii) investment management revenue models and opportunities; and (iv) investor demand profiles within wirehouse, registered investment adviser (RIA), and independent broker dealer (IBD) distribution channels.
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The ideal candidate will have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization.
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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.
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broker dealer jobs in Chicago, IL
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