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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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Preferred) Experience in Financial Services/Security Industry and working with regulatory organizations such as: Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), Federal Reserve.
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Marex is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets.
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Must have 1 year of combined experience within financial services compliance practices, including monitoring and testing, as required by the SEC, CFTC, FINRA, NFA, OCC and/or other related regulatory bodies.
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Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries, including Northwestern Long Term Care Insurance Company (NLTC), Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank.
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2+ years of financial services experience (e.g., brokerage, banking, trading, exchange, or clearinghouse industry) Experience in financial services (e.g., brokerage, banking, trading, exchange, or clearinghouse) preferred but not required.
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As an Allstate Financial Specialist, you’ll build your own financial services practice with support from Allstate. Would you like to own a meaningful financial services practice under the Allstate brand.
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Preferred] one of the following or equivalent certifications: Certified Financial Services Auditor (CFSA), Certification in Risk Management Assurance (CRMA), Certified Internal Auditor (CIA), Certified Public Accountant (CPA.
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Alternatively, experience in internal audit, legal, accounting or other control function of a financial services firm or regulator would be beneficial. ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications are a plus.
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Keeping current on best practices and emerging risks within the financial services industry and making recommendations for improvements as necessary. We provide central counterparty clearing and settlement services for equity options, futures, options on futures, and securities lending transactions.
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This role will support independent assessments of OCC's financial and operational business processes, risk management, and other objectives as needed. Preferred] Proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software.
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Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution.
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FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
$104,500 - $227,500 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Guggenheim Partners is a diversified financial services firm that delivers value to its clients through two primary businesses: Guggenheim Investments, a premier global asset manager and investment advisor, and Guggenheim Securities, a leading investment banking and capital markets business.
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JPMorgan Chase is an Equal Opportunity Employer, including Disability/Veterans ABOUT THE TEAM Our Consumer & Community Banking division serves our Chase customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, small business loans and payment processing.
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finra financial services jobs in Chicago, IL
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