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5+ years of structuring or trading experience of asset-based securities at a broker dealer or investment firm. Develop financial models and investment analysis using Intex, Trepp, and Bloomberg.
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Supporting both Bank and Broker-Dealer businesses in the U.S.Responsible for Operational Risk oversight of U.S. Operations. Knowledge of FINRA Broker-Dealer regulations is helpful, but not required.
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The SMBC compliance Department is responsible for monitoring the handling of sensitive confidential business information by SMBC personnel through the Compliance Control Room. It administers the SMBC Employee Investment Policy, arranges for the registration of broker-dealer personnel, and conducts compliance training.
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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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4+ years experience with Back Office Operations working for either a Prime Broker, Administrator, Hedge Fund, Mutual Fund, Investment Advisor or Financial/Retirement Planner. Real Estate Investment Trust (REIT), Private Equity, Global Macro, Fixed Income, Mortgage, Credit, Distressed, Long/Short, Risk/Stat/Arbitrage, Emerging markets and Fund of Funds.
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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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We are seeking a Vice President to help in the marketing and education of Alternative Investment solutions to the Consumer and Wealth Management advisor and client ecosystem. Our advisor-led wealth management businesses provide financial planning, investment management, banking and comprehensive advice to a wide range of clients, including ultra-high net worth and high net worth individuals, as well as family offices, foundations and endowments, and corporations and their employees.
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Commit to taking and passing the FINRA SIE exam and Series 99 exam within 3 months of employment and becoming affiliated with our broker-dealer (will required a background check). This role will involve close association with our broker-dealer to ensure strict compliance with financial regulations and standards.
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The incumbent reports directly to the Senior Investment Officer, Real Estate. Under the overall supervision of the Senior Investment Officer (SIO), the incumbent willbe responsible for the following functions:Assists the Senior Investment Officer (SIO) to manage and invest the assets of the Fund in global real estate markets.
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The firm is the No. 1 investment bank for global M&A transactions under $1 billion, the No. 1 M&A advisor for the past eight consecutive years in the U.S., the No. 1 global restructuring advisor for the past nine consecutive years, and the No. 1 global M&A fairness opinion advisor over the past 25 years, all based on number of transactions and according to data provided by Refinitiv.
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Licensed Customs Broker - International Freight Forwarding. Description: Become an integral member of a thriving department in NJ. We're looking for a seasoned and experienced Licensed Customs Broker who wants to take on a new challenge.
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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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Morgan Integrated Team comprised of a Client Advisor, Regional Client Advisor, Internal Client Advisor, ETF Client Advisor(s) and Retirement Client Advisors to serve the Registered Investment Advisor (RIA), Bank & Trust and Family Office clients in the Region.
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Ideally coming from a CRE advisory, investment management or alternative asset management firm, the GM of Marketplace will bring a diverse set of hands-on institutional/enterprise sales and capital markets experiences, always with a keen eye to customer engagement and success on both sides of the marketplace.
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sales advisor investment broker dealer jobs in New York, NY
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