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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) located in the Chicago Board of Trade.
Full-timeExpandApply NowActive JobUpdated 27 days ago - UpvoteDownvoteShare Job
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Broker Dealer Operations. Advisors at Broker Dealers. Beacon Hill Technologies covers a broad spectrum of IT positions, including Project Management and Business Analysis, Programming/Development, Database, Infrastructure, Quality Assurance, Production/Support and ERP roles.
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Previous experience working with a registered investment advisor and/or broker-dealer. Experience with broker-dealer operations is a plus. Previous experience working with a registered investment advisor and/or broker-dealer.
$35 an hourPart-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Registered Investment Advisor (RIA) or Broker Dealer experience required. Registered Investment Advisor (RIA) or Broker Dealer experience required. This role is also responsible for the success of the core business solutions and operations functions, including the day-to-day people leadership and management of the Back-Office Operations team.
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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 4 months ago - UpvoteDownvoteShare Job
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Cetera is nationally recognized as a self-clearing broker-dealer, registered investment adviser, and insurance agency serving the clients of nearly 500 institutions with assets ranging from $15 million to $13 billion nationwide.
Full-timeExpandApply NowActive JobUpdated 28 days ago - UpvoteDownvoteShare Job
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As the retail broker-dealer and investment advisory arm of Guardian, Park Avenue Securities provides you with the means to move your clients and your business forward. A mutual insurer founded in 1860, The Guardian Life Insurance Company of America (Guardian) and its subsidiaries are committed to protecting individuals, business owners and their employees with life, disability income and dental insurance products, and offer funding vehicles for 401(k) plans, annuities and other financial products.
Full-timeExpandApply NowActive JobUpdated 1 month 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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Broker-dealer, investment bank, investment advisor, and strategic partner for depositories, capital markets issuers and. broker-dealer, investment bank, investment advisor, and strategic partner for depositories, capital markets issuers and.
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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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Ability to pass an FBI (Federal Bureau of Investigations) background check with fingerprinting in order to be associated with the broker dealer. Capstone's services include M&A advisory, debt and equity placement, corporate restructuring, special situations, valuation and fairness opinions, and financial advisory services.
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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.
ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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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, and IG US is a registered Forex broker-dealer.
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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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Experience with a broker dealer and/or a registered investment advisor a plus. This position reports to the Finance Manager and will be in Chicago (Downtown Loop area) for a hybrid workweek.
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broker dealer jobs in Chicago, IL
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