- UpvoteDownvoteShare Job
- Suggest Revision
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 17 days ago - UpvoteDownvoteShare Job
- Suggest Revision
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.
ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Regulatory body (FINRA, SEC, other SRO) or at a compliance consultant or law firm dealing with broker-dealer, investment advisor, and AML matters. 2 to 5 years of experience working in a legal or compliance related role within a financial services firm (broker-dealer, investment adviser, etc.
ExpandApply NowActive JobUpdated 19 days ago - UpvoteDownvoteShare Job
- Suggest Revision
This role will serve as the Deputy Commercial Broker Dealer Compliance Officer supporting three institutional FINRA registered broker dealers and additionally providing a compliance support role for the Capital Markets line of business, a division within the Commercial Bank of Capital One, as necessary.
Full-timeExpandApply NowActive JobUpdated 11 days ago - UpvoteDownvoteShare Job
- Suggest Revision
American Veterans Group, PBC ("AVG") is a certified Service-Disabled Veteran Owned Broker- Dealer by the US Department of Veterans Affairs and is the first and only Public Benefit Corporation on Wall Street.
ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
- Suggest Revision
This position must have at least 3-5 years of experience managing broker dealer operations in an institutional or retail equity or options environment. Oversee the growth and development of a new broker dealer operation, putting in place clear processes and monitoring that conforms to SEC and FINRA regulations.
ExpandApply NowActive JobUpdated 11 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Qualifications 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.
ExpandApply NowActive JobUpdated 11 days ago - UpvoteDownvoteShare Job
- Suggest Revision
This system is marketed through our FINRA member broker dealer unit, GX2 Spread Markets, LLC. This boutique broker dealer services top tier institutional clients including Hedge Funds, Primary Dealers, and Proprietary Trading Groups.
Full-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
- Suggest Revision
Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams. Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams.
RemoteExpandApply NowActive JobUpdated 11 days ago - 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 11 days ago - UpvoteDownvoteShare Job
- Suggest Revision
CTA stop a block away, Shuttle to/from Metra. Comply with industry Anti-Money Laundering (“AML”) regulations and assist the AML Officer. Experience or avid interest in the financial industry. Our office is in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars.
ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
- Suggest Revision
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.
ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
ExpandApply NowActive JobUpdated 11 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Guggenheim is seeking an established and successful external sales professional with strong relationships in the wire house and regional channels.
Full-timeExpandApply NowActive JobUpdated 11 days ago - UpvoteDownvoteShare Job
- Suggest Revision
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.
ExpandApply NowActive JobUpdated 11 days ago
broker dealer jobs in Chicago, IL
FEATURED BLOG POSTS
How to Conduct a Performance Review (With Examples)
In a world where the smallest mistake can cost your business tens of thousands in lost revenue, your talent is key to keeping your edge on the market and driving growth. However, managing a workforce of any size can be a challenge. Employees come with their own particular skill set, ambitions and flaws. So, it can be difficult to uncover their individual drivers. Not to mention the challenges brought on by the hybrid and remote working models where in-person interactions have become few and far between.
How to Recruit Passive Candidates
Learning to recruit passive candidates is a different ballgame than recruiting active ones. While an active candidate is someone who is currently looking for a new job, a passive candidate tends to be the opposite. Passive candidates are either already working or not looking to work. So, instead of these candidates coming to you, you'll have to find them and reach out to them first.
How to Effectively Recruit Employees
Today, hiring and retaining talent looks much different than it did only two or three years ago. Financial instability and the strain on our mental health brought on by the pandemic has made everyone more wary and selective of their workplace and employer. Whereas in the past people might have prioritized promotions and financial reward, today they look at other factors such as workplace flexibility, personal fulfillment and values alignment.
How Many Hours is Part-Time vs. Full-Time Work?
Growing up you watched your parents shuffle to and from the office, held hostage to their 9 to 5. If jammed-packed schedules and deadlines sound frightening, you might consider pivoting your search to part-time jobs. In fact, even employers have shifted their preference, selecting more people open to the idea of flexible working hours.
How to Make a Job Offer More Competitive
Money alone makes it hard to attract and retain top-notch candidates, especially when you are competing with larger businesses and corporations in your industry. So, instead of focusing on money, figure out how to make a job offer more competitive when you can't offer more money.
5 Ways to Stretch Your Hiring Budget
Many businesses across the country have adjusted business operations to make it through the pandemic. After a period of hardship, many business owners, like yourself, are ready to start recruiting and rebuilding a bigger, more skilled workforce - only now you have to do it with a smaller hiring budget.
How to Ask for a Raise at Work
Here we go again; it’s time to talk money. Whether you’re one year in at a new company or approaching year five on the same team, learning how to ask for a raise should be part of your long-term career plan. These conversations are rarely fun (thanks to society, which has conditioned us to believe that money is taboo), but they are necessary if you want to, well, get paid what you’re worth. Trust us, there’s a lot of money on the table for taking. Below, we’ll discuss tips on timing, approach, and follow-up.