- UpvoteDownvoteShare Job
- Suggest Revision
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.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
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.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
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.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
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.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Ideally 5-10 years of experience in alternative investments, high net worth clients and/or wealth management, preferably on another broker dealer/bank platform. work with legal counsel on offering materials, understand and review due diligence considerations to couple such considerations with the product structuring and to educate sales and operations and finance on structural issues, work on marketing materials, obtain internal approvals.
$200,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
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
- Suggest Revision
Oppenheimer & Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker-dealer. 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
- Suggest Revision
What You’ll Bring A minimum of 5-7 years of compliance experience, including experience providing advisory support to a broker-dealer equities sales and trading business. Monitor the regulatory environment for emerging legislation and policy statements, along with relevant trends and industry best practices applicable to the sales and trading businesses through review of publications, participation in industry associations, contact with regulators and liaison with counsel and auditors.
$211,800 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
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.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
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.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
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.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
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.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Description du poste SummaryGlobal Markets Regulatory Compliance (GMRC) Advisory Americas Director 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.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
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.
$150,000 a yearExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Minimum of 3+ years of experience with a proven track record of consistently achieving sales goals within a day trading firm, clearing firm, broker, or dealer environment. Hold Brother's Capital, a self-clearing broker dealer with specialization in proprietary trading in the US Equities markets, headquartered in New York, NY, is seeking a highly motivated and experienced Senior Business Development Executive to join our dynamic team.
ExpandApply NowActive JobUpdated Today
sales broker dealer jobs in New York, NY
FEATURED BLOG POSTS
How to Get a Union Job? A Step-by-Step Guide
A union job can significantly impact your job security, pay, and employment benefits. Whether this is your first job or you have years of experience, a union job can offer much-needed protection in a labor market where employees are hired and fired at will.
How to Write a Statement of Interest the Best Way
Your life's goal is to work for Company A. Their brand, their product, their reputation—it's safe to say you're a fan. The only problem is that their careers page never highlights the role that matches your skills and experience. It's a bummer for sure, but don't fret.
Should I Hire for Potential Over Experience?
The workforce is shifting every day. In fact, research from the World Economic Forum (WEF) shows over half of employees around the world will need to upskill or reskill by 2025. The rapid rise of digital literacy, automation, and new technologies will quickly supersede businesses that don't train ahead of the curve. With the dire need to invest in training, it's evident that hiring someone with experience isn't that much different than hiring someone without it.
How to Decide Between Two Job Offers: 10 Practical Tips
It’s arguably a good predicament to have. You’ve applied to many jobs, interviewed multiple times, and now find yourself with two legit job offers. Nice! But although this is a feel-good validation of everything you have to offer, a daunting choice lies ahead. How do you decide which job will be the best fit for you?
Why Work in Sales? 9 Reasons & Tips on Answering as an Interview Question!
Working in sales can be demanding and challenging, but it can also be gratifying. Sales is an excellent career with a clear path full of excitement and potential for growth. So, if you're contemplating careers and have wondered "why work in sales?", keep reading to determine if sales is a suitable role for you.
How to Fire an Employee
So… you've finally decided to let one of your employees go. Drafting the paperwork and corresponding with HR is the easy part, but knowing how to fire an employee is where things get complicated. In fact, it is one of the most challenging conversations to have in the workplace. However, it must be done, and it must be done with poise and tact. Not only should you keep your state law in mind, but you should also consider your former employee's wellbeing.
How Long Does it Take to Hear Back from a Job?
Are you applying for your very first job? Maybe you’re anticipating your termination from your current role and want to be proactive. Either way, waiting to hear back on your job application can be stressful. If time has passed since you applied, you may wonder how long does it take to hear back from a job. Well, the answer is... it depends.