- UpvoteDownvoteShare Job
- Suggest Revision
Assess the broker-dealer compliance program designed to prevent illegal, unethical, or improper business practices. Perform audits of Broker Dealer and Global Markets activities and its products including trading, sales, risk management, operations and compliance functions to ensure compliance with policies and SEC, FINRA and CFTC regulations.
InternExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Nuveen Securities, LLC, is a registered U.S. broker-dealer, which serves as the underwriter and distributor for the Nuveen and TIACREF family of mutual funds. In addition, Nuveen's distribution activities in the Americas also includes Nuveen Canada Co., which serves as an exempt market dealer in certain provinces in Canada.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
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.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Quick to identify gaps or risk exposures in a dually affiliated broker-dealer and investment advisor and to develop and implement strong checks-and-balances. The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as well as having responsibility for the overall compliance framework for PAS as a dually registered broker-dealer and investment adviser.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Perform surveillance of the U.S. registered broker-dealer and OTC derivative/swap trading products with primary focus on Fixed Income. Assist with surveillance of various regulatory reporting obligations, including: CAT, TRACE, LOPR, Swap Dealer Trade Reporting.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
The scope of this function will encompass SMBC Group's Americas Division, inclusive of U.S. broker dealer and registered swap dealer; SMBC Group's wholesale and retail banking operations; U.S. and LATAM representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking and trading subsidiary; and Mexican non-bank leasing affiliate.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
As an Associate Director on the US Regulatory Relations team, you will be responsible for maintaining effective regulatory relations and a compliance program for continuous monitoring, regulatory inquiries and exams associated with Futures Commission Merchant ("FCM"), Royal Bank of Canada Swap Dealer ("Swap Dealer"), Royal Bank of Canada Security-Based Swap Dealer ("SBSD"), as well as RBC Capital Markets, LLC ("RBCCM") and RBC CMA LLC ("CMA") based on the Regulatory Relations Coverage Model.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
9-12 years' experience working in the Financial Services Industry at a Broker-Dealer in the Middle Office or Operations areas. Familiarity with Fidessa & DTC Alert/CTM - A MUST. Knowledge of Broadridge BPS, Pershing NetX, Murex, IPREO. - A Strong Plus.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
The Vice President/Sr. Associate of Equity Middle Office Business Support within the Corporate & Investment Banking division of Santander US Capital Markets, LLC is responsible for providing daily support to the Equity Front Office on all trading and non-trading activities, including trade capture, lifecycle management, controls, reporting, client services, and daily reconciliations in a fast paced & dynamic environment.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Became Long Islands first Mercedes-Benz dealer in 1957. Mercedes Benz of Rockville Centre is looking for the Apple Genius of our dealership. As a Mercedes-Benz of Rockville Centres Product Specialist, youre highly skilled at uncovering customers needs, then following through with enlightening solutions.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
The FMR LLC Legal Department has a unique opportunity for an innovative attorney to join our Wealth and Brokerage legal team as Legal Counsel, Broker-Dealer Regulation. You will support ongoing broker-dealer operations, providing analysis of applicable financial services related-law, rules, and regulations, including FINRA Rules, Securities Exchange Act of 1934, and Regulation Best Interest.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Interface with clients' treasury and corporate finance staff, as well as legal counsel and co-dealer managers during execution of transactions. The Debt Capital Markets Team within BMO Capital Markets is looking for an Analyst or Associate to work on the origination and execution of Liability Management transactions for investment grade and high yield fixed income issuers.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Extensive experience with FINRA and SEC regulations from an RIA (Registered Investment Advisor) or BD (Broker-Dealer) Supervise employees working on investment-related product offerings and ensure compliance across regulated entities (e.g. RIA, Broker-Dealer, Loan Brokering, Loan Servicing.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Daily support to the Equity Trading & Sales desk, answering queries and liaising with service teams to ensure trades and economics are correctly reported through the system architecture. Should possess an advanced understanding of trade support, investment bank products and markets.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Familiarity with broker-dealer regulation, Dodd Frank, Reg AB, CFPB, state and federal regulators, lending, bankruptcy, and with various fixed income and derivative products. Advise trading desks on secondary sales/trading of RMBS, CMBS, ABS, CLO and other fixed income securities.
ExpandApply NowActive JobUpdated Today
telemarketer dealer jobs in New York, NY
FEATURED BLOG POSTS
What Makes a Good Boss? The Top 12 Qualities & Attributes
Think back to the best boss you’ve ever had—does someone come to mind? We hope so! Okay, now think back to the worst boss you’ve ever had. I’m sure you can conjure up a few faces.
How to Recruit and Retain Gen Z Employees
As Boomers and the oldest Gen X are exiting the workforce, younger Millennials and Gen Z are flowing in. While the younger generations seem to be completely different than the older generations, many care about some of the same things- financial security, working conditions, etc. However, due to social and cultural differences in the era that Gen Z has grown up in, they have concerns that were never even workplace topics of discussion 20 years ago.
How Does Temp to Hire Work? Benefits, Concerns, & More
Whether you’re just starting out your career or are looking for the next opportunity, the job market has never been more burgeoning with opportunities. From flexible work options and freelancing gigs to seasonal and temp-to-hire work, people today are spoiled for choice when it comes to finding engaging and fulfilling work.
Explore Your Skill and Find the Best Way to Make Money From Home
When you just can’t stomach another drive-thru coffee on your morning commute, close your navigation app on your phone and search for easy ways to make money from home instead. With a computer and some niche skills, there are countless opportunities for you to earn a living from your couch. (Okay, fine, your home office.) Below, we’ll explore 30 different ways to make money from home, as well as a few “too-good-too-be-true" warning signs to know to keep you from booking the wrong remote gig.
Learn How to Respond to an Interview Request With Templates
Job interviews are an inevitable part of any job search. So, handling them well is key to building a fulfilling career. Regardless of whether you’re looking at a more junior role or strive for a role as a business executive, you need to maintain your professionalism every step of the way in order to stay in the game.
What is Employment Participation Rate
According to economists, there are four factors of production that go into creating higher quality goods at lower prices. These are
How to Get Pay Stubs (From Previous Employee Also!)
Pay stubs are an important piece of document which shows your earnings in a given period, as well as any deductions made towards your health insurance or pension contributions. They’re also excellent for finding out how much your recent salary raise has bumped up your monthly net income.