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We are currently seeking a Capital and Liquidity Senior Specialist in the Enterprise Products division to support the CFO Regulated Entity group. Knowledge of broker dealer, MTF, ATS, APA or ARM or any regulated industry.
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We're seeking a future team member for the role of Capital Markets Broker Dealer Regulatory Reporting Analyst to join our Capital Markets Accounting team. Capital Markets Broker Dealer Regulatory Reporting Analyst.
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Our investors include Lerer Hippeau, Valedor Partners, Rocana Ventures, Beliade, Silas Capital, Litani Ventures, Joyance Partners, Parallel Ventures, Great Oaks Venture Capital, Simple Food Ventures, Carly Strife (Founder of BARK), Kathleen King (Founder of Tate's Cookies), Philip Krim (CEO at Casper), Nick Green (CEO at Thrive Market), Nas, Kim Clijsters, Andy Roddick, and more.
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We provide strategic advice, raise capital, manage risk and extend liquidity in markets around the world. About Securities ServicesSecurities Services is a premier securities servicing provider that helps institutional investors, alternative asset managers, broker dealers and equity issuers optimize efficiency, mitigate risk and enhance revenue.
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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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2+ years in SEC/FINRA Broker Dealer regulated institutions such as 15c3-1 Net Capital rules and 15c3-3 Customer Reserve rules. 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.
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FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
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5+ years of experience in financial services with knowledge of capital market, banks, broker dealers, securitized transactions and loans. SPG is a market leader in bank and asset backed commercial paper funded securitization facilities and is a leading arranger in the U.S. Securitized Products focuses on originating, structuring and either retaining for our portfolio or on the capital market side distributing and trading Asset Backed Securities (ABS) and Collateralized Loan Obligation (CLO) transactions.
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The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers Bank, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.
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Since spinning out of a large brokerage firm in 2016, DV Trading has rapidly scaled as an independent proprietary trading firm utilizing its own capital, trading strategies, and risk management methodologies to provide liquidity to worldwide financial markets and hedging opportunities to commodity producers and users.
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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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Broker Dealer Compliance; and, We focus on product innovation and development, supply chain, procurement and sourcing, manufacturing operations, service operations and capital asset programmes to drive both growth and profitability.
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Société Generale's and Bernstein Research Services' clients, including corporate and financial institution issuers as well as institutional investors, this newly created joint venture would offer a comprehensive global suite of world-class services across cash equities and research, combined with Société Generale's integrated equity capital markets, equity derivatives and prime services platforms.
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Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking an EVP of Finance & Operations to oversee the self-clearing brokerage operations, related affiliates and serve as a member of our executive team.
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We have been operating in North America for over 100 years, providing a client-focused approach for global businesses with strong links to the UK. Our New York operations provides a gateway between the UK and North America for financial institutions and large corporate clients, offering core banking products such as lending, trade finance and a range of debt capital and financial markets services through our US broker dealer, Lloyds Securities Inc.
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broker capital jobs in New York, NY
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