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Entity Overview: Lloyds Securities Inc. (LSI), a broker-dealer registered with the Securities and Exchange Commission (SEC), and FINRA member firm, is the U.S. securities arm of LBCM plc UK. Lloyds Securities' businesses include Debt Capital Markets, Bond Syndicate, Private Placements and Credit Sales & Trading.
$215,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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The incumbent will be responsible for underwriting and reviewing CRA qualifying equity investments and loans within the following asset classes: i) multifamily developments financed with Low Income Housing Tax Credits (LIHTC), ii) community development financial institutions (CDFIs), iii) real estate private equity funds, iv) Small Business Investment Corporations (SBIC), iv) New Markets Tax Credits (NMTC), and v) other qualifying assets for Santander Bank, N.A.'s CRA Program.
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5+ years relevant professional experience in sales, sales enablement, technology sales, competitive intelligence, management, business, or technology consulting, software development, M&A, corporate strategy, finance, or marketing.
$220,200 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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5-10 years’ experience in a broker-dealer compliance role, including coverage of Equity Research (preferred), Control Room and/or Investment Banking Compliance. Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm.
$175,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Champions leadership development and workforce planning priorities by assessing, selecting, retaining, and developing diverse, high-caliber talent that can lead the organization today and strengthen the leadership bench for the future; continues to upgrade the sales & marketing talent; works with HR to anticipate future talent needs based on business growth plans.
$150,000Full-timeExpandApply NowActive JobUpdated Today - 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.
$300,000 a yearFull-timeExpandApply NowActive JobUpdated 18 days ago - UpvoteDownvoteShare Job
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3-5 years in the financial services industry at a broker/dealer or regulatory agency (i.e. FINRA, SEC, CFTC), ideally with an emphasis on surveillance with exposure to business, IT, operations, support, and control functions.
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Collaborate with business partners, Compliance, Legal and/or fellow support professionals in the development and delivery of AML/BSA/KYC training/presentations. The focus of the Investigation & Analysis Group (“IAG”) team is to perform enhanced due diligence on prospective and existing Corporate and Institutional Banking (“CIB”) relationships in an effort to protect the Bank from Anti-Money Laundering (“AML”), Counterparty and/or Reputational risk.
$160,000 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Relevant experience includes, but is not limited to; Business Brokerage, Franchising, Franchise Ownership, Insurance Sales, Commercial Banking, Small Business Banking, Real Estate, Financial Advisor, CPA, CFP, Attorney, Small Business Owner, Engineering, Project Management, General Management, Small Business Owner, Executive, Sales, Business Development, Relationship Management and Development, Information Systems, Commercial Real Estate.
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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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ICapital is looking to hire a Vice President of Business Development, who will work strategically and tactically to grow iCapital's licensed technology business across both wealth management and asset management with a primary focus on Architect, iCapital's portfolio construction software.
$170,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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A global investment bank that is building out their business in the US is looking for an Associate of IT Audit, Data Analytics. Translates auditor requirements and business processes into the design, development and execution of data analytics solutions in support of audit delivery, with a focus on delivering repeatable and scalable solutions.
$156,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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As a Mid Market Business Development Representative, you will work with our Sales team to find new merchants that fit the Square ecosystem. Job DescriptionSquare is looking for an enthusiastic, curious, driven professional to grow our mid-market business development team.
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10+ years’ experience in Broker-Dealer Operations / US Canadian Capital Markets / FINOP oversightHigh competency and knowledge level of (Broadridge) BPS/ADP, Impact, Post edge, and Spire systems.
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Deutsche Bank is seeking a junior or mid-level attorney to join the Legal Department in New York to support the Global Legal Documentation and Sales & Trading Legal divisions with a focus primarily on support for the repo business, including for both bilateral and cleared repo transactions.
$254,500 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago
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