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Perform market and credit risk capital calculations for all Mizuho Americas businesses and products (banking, broker-dealer and derivatives trading) under Basel III. Mizuho Americas employs approximately 3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research.
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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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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.
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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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5+ years in a broker/dealer business development, asset management wholesaling, or an institutional custody sales role. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services.
$212,500 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.
$120,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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The Senior Regional Consultant/External Wholesaler will sell MFS Investment products and services through financial intermediaries in the Broker-Dealer, Regional, Independent and Bank channels within New York City.
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In this role, you will manage a team of external wholesalers in an effort to build relationships with top financial advisors in the Broker Dealer Channel as well as provide valuable client solutions to assist advisors in growing their business using State Street's investment products.
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Parameta Solutions, the data and analytics division of inter-broker dealer TP ICAP, is a leading global provider of OTC Market Data. From pre to post trade, their solutions help clients manage complex markets more effectively.
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We are seeking an experienced sales professional to join the Enterprise team, covering our Enterprise clients including RIA Aggregators, Independent Broker Dealer, and Bank & Trusts.
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Together with its subsidiaries, New York Life provides a range of competitive insurance and financial products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency.
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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.
$250,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Cetera is nationally recognized as a self-clearing broker-dealer, registered investment adviser, and insurance agency serving the clients of nearly 500 institutions with assets ranging from $15 million to $13 billion nationwide.
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Manage broker-dealer related matters working with the sales team & Prudential’s broker-dealer. Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America.
$172,300 a yearFull-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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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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financial sales broker dealer jobs in New York, NY
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