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With experience in middle or back office operations at a registered broker dealer or bank, you are excited to dive in and make a direct impact on our daily operations. 2+ years in SEC/FINRA Broker Dealer regulated institutions such as 15c3-1 Net Capital rules and 15c3-3 Customer Reserve rules.
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5+ years’ experience in ABS. Prefer banking/trading experience at a broker/dealer, with experience in lending, asset purchasing or securitization, or capital markets experience at a specialty finance/consumer loan originator.
$200,000 a yearFull-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring and AML compliance. As the broker-dealer CCO, the successful candidate will maintain and establish standards and implement procedures to ensure that the broker-dealer compliance program remains effective and efficient in identifying, preventing, detecting and remediating regulatory issues.
$300,000 a yearFull-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Experience with independent broker dealer distribution channel (including negotiating selling agreements and interfacing with third party due diligence officers) and private placements via Delaware Statutory Trusts a plus.
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We are focused on the investment bank division and conduct reviews of UBS's various businesses in order to proactively identify compliance issues (e.g., securities laws and broker-dealer rules & regulations, prudential regulations) and ensure adequate controls are in place to mitigate associated risks.
$211,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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LPL Financial, member FINRA, SIPC, is the clearing broker-dealer for Equitable Advisors, LLC and they are not affiliated. o Our broker/dealer powered by one of the worlds largest broker/dealers LPL.
$150,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser. Skills and KnowledgeCertified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or Certified Financial Services Auditor (CFSA) designation a plus.
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The ideal candidate will have extensive expertise in banking operations, Broker Dealer and Swap Dealer regulations (including the global impact of relevant U.S. regulations), compliance with regulations, and a deep understanding of front office sales and trading operations.
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Collect, reconcile, and analyze information including broker-dealer documents, trading, and financial information, as well as internal FINRA documents to assist the exam in the analysis of an investigation.
$200,200 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Dealer-board / Turret technologies (IPC Unigy, Broker lines, hoot bridges) Desirable but not required - product inductions and training will be provided. Knowledge of Voice Recording systems (NICE NTR, NICE Fusion, VERINT VFC – VERBA.
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Manage large scale primary dealer relationship by facilitating products, such as overnight/term triparty repurchase (repos) agreements, and general collateral finance repos, utilizing collateral management tools and collaborating with other functional teams.
$70,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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8-10 years of financial services experience, bonus points for experience with broker-dealer compliance or supervision, or prior experience at a regulator. The Governance Team with Robinhood Markets Platforms comprised of the Customer Experience and Customer Trust & Safety areas works with various Robinhood entities including the Operational and Compliance teams at Robinhood Securities, LLC ("RHS"), Robinhood Financial, LLC (“RHF”), Robinhood Crypto LLC (RHC) and Financial Crimes to drive a culture of governance and compliance that actively supports the people, process and technologies vital to our business.
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5+ years of structuring or trading experience of asset-based securities at a broker dealer or investment firm. Screen securities and evaluate trade ideas in public structured products markets including ABS, CLO, RMBS and CMBS.
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Taylor Root is working with various clients in the Financial Services space who are looking for talent with substantial broker-dealer compliance experience. Taylor Root is working with various clients in the Financial Services space who are looking for talent with substantial broker-dealer compliance experience.
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7 years of swap dealer experience Compliance Testing, NFA, or Internal Audit background Strong knowledge of U.S. laws, rules, and regulations pertaining to swaps dealers, including Title VII of the Dodd-Frank Act, associated CFTC regulations, and NFA rules If this is a role that interests you and you’d like to learn more, click apply now and a recruiter will be in touch with you to discuss this great opportunity.
$175,000 a yearFull-timeExpandApply NowActive JobUpdated 22 days ago
dealer job in Jersey City, NJ
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