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Preferred Qualifications In-house experience at a broker-dealer or registered investment advisor in legal or compliance Experience at a federal regulator or self-regulatory organization In-house experience in a RIA Custody business and/or Broker-Dealer Clearing Services business is a plus Outstanding law firm credentials ABOUT GOLDMAN SACHS At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow.
$170,000 - $270,000Full-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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Park Avenue Securities is Guardian's broker-dealer and corporate Registered Investment Advisor (RIA), which offers clients an expanded suite of products and solutions to help them achieve financial well-being.
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Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors.
$150,000Full-timeExpandApply NowActive JobUpdated 29 days ago - UpvoteDownvoteShare Job
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You have four to six years of experience in back/middle office trading support at a financial institution, hedge fund or administrator, and want to leverage this experience to provide support to Galaxys trading and investment operations, specifically around regulations, procedures and processes for our Swap Dealer Entity.
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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 world’s largest broker/dealers LPL.
$55,000 - $150,000 a yearFull-timeExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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4-8+ years’ experience in Accounting or Back Office Operations working for a Prime Broker, Administrator, Hedge Fund, Investment Advisor or Audit firm. SS&C is a global provider of investment and financial services and software for the financial services and healthcare industries.
$115,000 - $150,000 a yearFull-timeExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor ("RIA") affiliates of Société Générale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and practices with Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance.
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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.
$170,000 - $228,900 a yearFull-timeExpandApply NowActive JobUpdated 20 days ago - UpvoteDownvoteShare Job
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Ares offers a number of additional benefits including access to a world-class medical advisory team, a mental health app that includes coaching, therapy and psychiatry, a mindfulness and wellbeing app, financial wellness benefit that includes access to a financial advisor, new parent leave, reproductive and adoption assistance, emergency backup care, matching gift program, education sponsorship program, and much more.
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Strong accounting and finance background and experience in Liquidity reporting including Liquidity stress testing, FR2052a reporting - and products and processes associated with a Broker Dealer.
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Leerink Partners is a leading investment bank providing a complete suite of financial solutions comprising M&A advisory, equity, debt, and derivative capital markets, equity research, and sales and trading capabilities.
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As an Investment Banking Analyst, you will play a pivotal role in leading and executing complex financial transactions and providing strategic advice to our clients. We are currently partnered with a specialty Investment Bank looking to add an Investment Banking Analyst to their Tech/SaaS/Software coverage team.
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Certifications:Chartered Financial Advisor (CFA)Certified Financial Planner (CFP) IRC section 48 Investment Tax Credit. Within the BTS practice we serve renewable energy clients that develop, build, own, and operate renewable energy projects, such as wind, solar, battery storage, geothermal, biomass, and fuel cell projects.
$63,420 - $144,300 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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The Underwriting Associate shall analyze investment opportunities by creating financial cashflow and valuation models, undertake due diligence responsibilities, and participate in Investment Committees, including presentation of and recommendations to a loan's risks and mitigates under a wide range of scenarios.
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Lumida offers specialized services including Family Office and Investment Management, along with a pioneering Crypto White Glove Service. Lumida is the leading Private Wealth Advisor focused on the Digital Asset space.
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