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Offer guidance on broker-dealer, FINRA, investment adviser, and fund formation matters, if applicable. Broker-dealer, FINRA, investment adviser, or fund formation experience is a plus.
Full-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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The Vice President and Counsel will provide legal, regulatory and transactional support to our SEC and CFTC registered security-based swap dealer business and to our broker-dealer.
$202,500 a yearFull-timeExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Experience with the trade and position reporting requirements of a broker/dealer including but not limited to MSRB, TRACE, LOPR, Electronic Blue Sheets (EBS) and ACT. In addition, experience with Fixed Income processing would be ideal.
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The Senior Underwriter position within Baker Tilly Capital, LLC’s Development Community Advisory - Capital Formation (“DCA”) team offers a great opportunity to be part of a growing team within our FINRA Broker-Dealer and be a valued business advisor delivering industry-focused financial services to energy and infrastructure clients.
$187,790 a yearFull-timeExpandUpdated 1 month ago - UpvoteDownvoteShare Job
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In this role, you will manage a team of external wholesalers in an effort to build relationships with top financial advisors in the Broker Dealer Channel as well as provide valuable client solutions to assist advisors in growing their business using State Street's investment products.
$210,000 a yearFull-timeExpandUpdated 1 month ago - UpvoteDownvoteShare Job
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This high-profile group works across all of Investment Management as well as with our other internal stakeholders including product, actuarial, treasury, accounting, risk, compliance, and external partners, including our primary asset management subsidiary Barings and the major Wall Street derivative broker/dealer counterparties.
Full-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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The Equity Derivative Portfolio Manager will work closely with teams across Investment Management, Barings and Enterprise Risk. The Quantitative Portfolio Management (QPM) team has primary focus in asset-liability management (ALM), product pricing, and the formulation and execution of quantitative strategies that enhance policyholder surplus and mitigate unwanted risks in the portfolio.
Full-timeExpandUpdated 1 month ago - UpvoteDownvoteShare Job
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Capital Markets, investment banking, and broker dealer product and service knowledge (e.g., equity and debt securities, commodities, derivatives, foreign exchange) and applicable laws, rules, and regulations (e.g., Rule 3110, the Securities Act of 1933.
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In addition, this high-profile group works with our other internal stakeholders including product, actuarial, treasury, accounting, risk, compliance, and external partners, including our primary asset management subsidiary Barings and the major Wall Street derivative broker/dealer counterparties.
$141,300 a yearFull-timeExpandUpdated 1 month ago - UpvoteDownvoteShare Job
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At least two years of experience in global custody and/or global Broker/Dealer and/or global network management. The Custody Network Manager is responsible for the discovery, establishment, and oversight of U.S. Bank’s sub-custodian and cash correspondent bank network relationships and maintenance of market intelligence products of various areas of the globe.
$131,340 a yearFull-timeExpandUpdated 1 month ago - UpvoteDownvoteShare Job
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Requirements Investment Banking, Capital Raising, Angel Investing, Broker-Dealer, Corporate Finance, Capital Markets, Equity Capital Markets, Financial Services, Private Equity, Private Equity Funding, Private Equity Firms, Management Consulting, Venture Capital, Transaction Advisory, Transaction Advisory Services, Mergers & Acquisitions, Due Diligence, Private Placements, Growth Capital, Seed Capital.
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Team has primary focus in asset-liability management (ALM), product pricing, and the formulation and execution of quantitative strategies that enhance policyholder surplus and mitigate unwanted risks in the portfolio.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Experienced attorney to support the retail sales and trading broker-dealer activities of Merrill Lynch’s Global Wealth and Investments Solutions group. Providing primary legal support to Merrill’s broker-dealer equities sales and trading business.
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The role requires US securities licensing – SIE, Series 79, Series 82, Series 63, Series 24 – which will be sponsored by Green Giraffe’s broker dealer affiliate. The successful candidate will become a registered principal of the our US broker dealer.
$250,000 a yearFull-timeExpandApply NowActive JobUpdated 3 months ago - UpvoteDownvoteShare Job
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Five plus years of experience in financial services including, but not limited to, financial planning, goals-based investing, financial advisory at a broker-dealer, RIA and/or a private bank, affluent/high-net-worth solutions, and retirement strategies.
Full-timeExpandUpdated 1 month ago
broker dealer jobs in Boston, MA
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