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Provide regulatory advice, support and management of compliance programs to the New York Branch, and the US registered broker-dealer across activities, including Debt and Equity Capital Markets, M&A, Leveraged Finance, Lending, Structured Products and Research.
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In this role, you’ll make an impact in the following ways: Responsible for assisting in preparation of daily net capital requirements reports and weekly customer reserve reporting for a full service securities trading broker dealer ( c- and C- reports) Also help in tracking daily trading activities and results to prepare daily accounting trail balance report – showcasing position values of fixed income and equity trading.
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Knowledge of broker dealer, MTF, ATS, APA or ARM or any regulated industry. We are currently seeking a Capital and Liquidity Senior Specialist in the Enterprise Products division to support the CFO Regulated Entity group.
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As a Vice President and Legal Counsel, you will play a pivotal role in helping to ensure the joint venture closes in a timely manner and shaping the legal framework and strategy of the newly formed global joint venture, which will have broker-dealers and/or broker-dealer operations in 20+ jurisdictions.
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The Global Markets Regulatory Compliance (GMRC) Advisory Vice President is responsible for providing advice on Swap Dealer and Broker Dealer regulations (including the global impact of relevant U.S. regulations) and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support functions.
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Experienced Capital Markets Attorney to support the retail sales and trading broker-dealer activities of Merrill Lynchs Global Wealth and Investments Solutions group. Providing primary legal support to Merrills broker-dealer sales and trading businesses for Equities and Fixed Income.
$170,000 - $228,600 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Optima Partners is looking for an Associate Consultant to support clients on regulatory compliance matters for some or all of the following: asset managers, hedge funds, private equity, venture capital, real-estate, credit managers, banks and broker-dealers.
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The Broker-Dealer Accounting/Regulatory Reporting team of Bernstein Institutional Services is in search of a manager, Broker Dealer Accounting and Reporting to join their newly formed U.S. Controller's team.
Full-timeExpandUpdated 23 days ago - UpvoteDownvoteShare Job
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Position Description:KBW’s Equity Research, Sales and Trading Internship is a nine-week summer program that provides an introduction to a full-service investment bank and broker-dealer that specializes in financial services.
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Expertise in policies, procedures, governance, design and operations in relevant areas, such as trade life cycle, front-office structure, broker-dealer operations, clearance and settlement, client onboarding, treasury operations, collateral management and regulatory regimes.
$119,900 - $219,800 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Partner with the broker/dealer and other Treasury teams to drive transparency and anticipate liquidity needs. Members of Treasury and Chief Investment Office are uniquely positioned to influence the operations of the entire firm by managing its aggregate market exposure, deploying its capital, and designing and executing its liquidity and funding strategies.
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Apex Capital Holdings, LLC is an associated member of T3 Trading Group, LLC. T3 Trading Group, LLC is a registered SEC broker-dealer and member of the FINRA SIP. Opportunity for Career Transition: Apex Capital is seeking professionals with 1-2 years of experience in finance, either on the sell-side or buy-side, who are motivated to transition to a buy-side role as an event-driven equity trader.
ExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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10+ years of regulatory compliance experience at a broker dealer and or swap dealer. Extensive Compliance Advisory experience at a broker dealer and or swap dealer.
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Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986.
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Position requires strong knowledge of Trade Life Cycle of Capital Markets products from Booking to Settlement, Transactional Regulatory Reporting, US broker dealer and transactional regulatory reporting, and solid experience with regulatory reporting IT systems.
$145,000 - $170,000 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago
broker dealer capital jobs in Jersey City, NJ
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