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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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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 firm is a broker-dealer registered with the United States Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority. 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.
$110,000 - $125,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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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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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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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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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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Work experience: Ideal candidate will possess 1-4 years of work experience that is applicable to equity research including (1) healthcare investment banking or venture capital experience, (2) prior equity research experience with a broker dealer/investment bank, or (3) corporate role in a relevant life sciences industry.
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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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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.
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Prime Services provides securities financing, securities lending and other client services (securities clearance and settlement, consulting and capital introduction) to the firm's hedge fund, institutional and broker dealer clients across multiple asset classes.
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Assist management in the planning, design, and execution of Mizuho's quality assurance program in accordance with the firm's risk assessment framework for the regulatory reporting of Mizuho's U.S. entities including banking entities, broker-dealer, swap-house, leasing and other subsidiaries.
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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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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.
$150,000 - $190,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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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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broker dealer capital jobs in New York, NY
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