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The Sr. Director will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker-dealers and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One. The broker-dealers include Capital One Securities, Inc., KippsDeSanto & Co., and TripleTree, LLC (collectively "Commercial Broker Dealers" or "CBDs.
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Currently working as a Broker Dealer or Investment Advisor CCO or deputy CCO. At least 10 years of experience working in broker-dealer or investment advisor compliance OR at least 8 years of experience working for a regulator overseeing broker dealers or investment advisers.
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Data entry, generation of import files, labelling, filing, assistance with tracking/expediting freight, freight/broker invoice auditing. What Does It Take to be a Warehouse Lead at Dawn Foods.
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Robust corporate and individual broker print, digital and social media marketing campaigns to support your business. Custom designed Microsoft Dynamics CRM system (Friedman D365) allowing you to manage your leads, opportunities, and transactions from start to finish from desktop to mobile.
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Prior experience managing legal and compliance teams, preferably with a broker dealer, self-regulatory organization, or a federal securities or commodities regulator. Candidates will ideally have 10 years of compliance and legal experience working for a proprietary trading firm, broker-dealer, clearing firm, SRO, or similar organization under FINRA’s purview.
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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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The firm has perfected a powerful property marketing system that integrates broker specialization by property type and market area; the industry’s most comprehensive investment research; a long-standing culture of information sharing; relationships with the largest pool of qualified investors; and state-of-the-art technology that matches buyers and sellers.
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Years of experience working at a asset manager, systematic broker, market maker, HFT or a top tier investment bank. A global Quantitative Hedge Fund is hiring a Senior Software Engineer to join their global front office technology department in a new greenfield project to revolutionize their execution and market data platforms.
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Implementation experience in US Import & Export (AES filing), broker interface, USMCA FTA. Expert in GTS Configuration, Export /Import Compliance, SPL/Embargo, License Determination, classification, Customs Export, import process, trade Documentation.
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Assist in managing broker relationships. We are looking for a person who has a desire to grow within the role and be an integral part of the CPG sales team. Experience in frozen CPG sales is preferred.
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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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How this opportunity is different Aon is the #1 broker in the credit risk reinsurance market. Your work will support both established and emerging solution lines, including credit and political risk (CPR) and bank credit risk transfer (CRT) re/insurance deal placements, as well as other traditional casualty client projects, working in a collaborative environment with other Aon colleagues.
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A sound understanding of the Broker/Dealer and RIA marketplace. Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. We assist companies and non-profit organizations in delivering benefits to their employees.
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Urgent In-House/Remote Freight Broker- Non Asset 3PL. Are you a high functioning freight agent or broker looking for that forever home? As our On-Site Freight Broker, you will play a crucial role in our team's success by actively seeking out new customers and carriers while maintaining existing client relationships.
$80,000 - $120,000 a yearFull-timeExpandApply NowActive JobUpdated 17 days ago - UpvoteDownvoteShare Job
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A Strategic Account Manager: you'll ensure a profitable book of Property and Casualty insurance by writing new accounts with varying premiums and complexity, growing successful agent and broker relationships.
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broker job in Oak Park, IL
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