- UpvoteDownvoteShare Job
- Suggest Revision
Suitability Analyst Broker/Dealer. The Suitability Analyst works closely with all Registered Representatives, Investment Advisors and Associate Persons of the B/D and RIA to ensure compliance with FINRA, SEC and State Regulations.
ExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Growing Broker Dealer is seeking a strong operations manager to oversee its futures clearing business. Ensure compliance with regulatory requirements set by SEC, Client, NFA, CFTC, and other applicable exchanges.
ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Prior Broker Dealer or similar industry experience preferred, Series 99 and 27 designation a plus. Bachelor’s degree in Accounting or Finance required and Certified Public Accountant (CPA) licensing preferred.
ExpandUpdated 12 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Minimum 5 years of compliance experience required (mutual fund, investment advisor, and broker-dealer experience preferred). Minimum 5 years of compliance experience required (mutual fund, investment advisor, and broker-dealer experience preferred.
ExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
- Suggest Revision
This position provides exposure to a variety of professional liability matters—directors and officers, employment practices, mortgage bankers and securities broker/dealer— pending in courts across the country.
$120,000 - $160,000 a yearFull-timeExpandApply NowActive JobUpdated 13 days ago - UpvoteDownvoteShare Job
- Suggest Revision
5-7 years’ broker/dealer accounting, controller and auditing experience. Develop and maintain financial accounting systems for cash management, accounts payable, accounts receivable, credit control, and petty cash.
Full-timeExpandApply NowActive JobUpdated 19 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Bank owned Institutional broker dealer is seeking to expand its Municipal Sales desk in Chicago. NASD Series 7 and Series 63 licenses required. Bank owned Institutional broker dealer is seeking to expand its Municipal Sales desk in Chicago.
ExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Attend and make public presentations at advisor or other meetings:Be able to communicate confidently and fluently on different presentations used by the AssetMark sales team and financial advisorsPromote and attend Broker/Dealer Conferences, lead acquisition and other relevant regional meetingsAbility to travel at least 30% of the time within the territory or other field meetings.
ExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
- Suggest Revision
This position will drive account revenue, new sales and retention within the Broker Dealer space! Broker Dealer experience. This position will drive account revenue, new sales and retention within the Broker Dealer space.
Full-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Prepares quarterly and annual financial statements for the affiliated broker dealer. Prepares quarterly and annual financial statements for the affiliated broker dealer. Drafts Footnote disclosures and management discussions and analysis for regulatory reporting.
$70,000 - $85,000ExpandApply NowActive JobUpdated 5 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.
ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
- Suggest Revision
We help clients get invested and stay invested in the markets by providing fact-based answers that remove emotion from the equationJob Summary As a Sales Desk Manager for our Independent Broker Dealer (IBD) Channel, you will lead our team of Internal Client Advisors (ICAs) We are looking for a strategic, consultative, sales-minded individual with a true passion for developing talented individuals.
ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring, AML and AFC compliance.
ExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
- Suggest Revision
In this role you will build and grow relationships with IMO, BGA and Producer Groups in IL, IN, MI, OH, KY, and TN, supporting sales efforts through the independent as well as national broker/dealer channels.
Full-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
- Suggest Revision
FINRA Series 7 and/or Series 24 license and additional Principal Licenses (*Only for Broker Dealer Supporting Roles) Certifications: ACAMS – Association of Certified Anti-Money Laundering Specialists.
Full-timeExpandApply NowActive JobUpdated 7 days ago
broker dealer jobs in Chicago, IL
FEATURED BLOG POSTS
Growing Discontent: Employees Wouldn't Wish Their Jobs on Their Worst Enemy
The start of a new year, and most people are already busy setting personal and professional goals. What’s on the top of the list for a growing number of working people is making an exit from the job they currently have. Why?
How to Gracefully Quit a Job You Just Started
You’ve just started learning the ropes at your new job, and you've gotten to know your colleagues. But you’re already thinking about quitting. Maybe you were deciding between to job offers and realized that you’ve made the wrong choice. Or, a change in your personal circumstances means that you have to quit.
How to Professionally Reschedule a Job Interview Without Destroying Your Chances
You’ve practiced answering common interview questions and refined your “greatest weakness.’ Nothing can stop you until BAM! The flu hits your household. Or you ran over a nail and popped a tire en route to the interview. When you need to pivot, there’s a good, better, and best way to reschedule a job interview. Here’s how to do it professionally, so you can nail the gig when the timing is right.
What is a W-9 and How to Fill One Out
When you began working for yourself, you probably didn’t account for the tax reporting work that will fall on your shoulders each year. If you’re a freelancer, independent contractor, or business owner, filing your taxes is not as simple as uploading your W-2 form into some online tax preparation software. Most self-employed people need to complete a W-9 as a step for accurately reporting their earnings to the IRS. Below, you can learn how to fill out a W-9 and when to submit it.
Tightening the HR budget in 2023
With the state of the economy still uncertain, 2023 is expected to be approached with much anticipation. Human Resource leaders have many concerns, including how they will manage to accomplish their goals with budget belts already getting snug. Let’s look at some of the factors that the new year is projected to bring for HR and how to prioritize budgets to reach human capital objectives.
A Comprehensive Guide to Becoming a Better Conversationalist
Have you ever stood awkwardly next to someone at a party because you didn’t know what to say to them? How about at a networking event or on a first date? You're not alone if you’ve ever experienced this uncomfortable silence. Many people struggle to master the art of being a great conversationalist.
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.