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We are looking for a VP, CCO, for our Broker-Dealer and Registered Investment Advisor located in the Soho, NY area. Develop, implement, and maintain Forge's broker-dealer and RIA compliance programs.
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We're a recognized Elite Agency award winner and a leading property and casualty broker, benefits consultant, wealth manager, and retirement plan advisor. We're a recognized Elite Agency award winner and a leading property and casualty broker, benefits consultant, wealth manager, and retirement plan advisor.
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You will identify trading opportunities in various high yield sectors and coordinate with banking, debt capital markets and syndicate on new issue. Manage risk, liquidity and exposure and support all aspects of the trading desk: pre-trade analysis, credit & high yield research, inbound and outbound trade processing and advanced data analytics, including algo pricing applications.
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Understanding of the hedge fund / bank/ quantitative trading investment lifecycle. Strong domain experience in low latency trading technology (hedge funds, banks, quantitative trading firms, asset managers.
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Troubleshooting of trading issues anywhere between EMS/FIX and Broker/ECN through to middle and back office booking and position management. Trading Operations interacts with most teams within the firm, including Portfolio Managers, Middle Office, Operations, and Development as well as senior management.
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The firm's core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more.
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Functional knowledge of the US fixed income and derivative trading regulatory framework, the ’33 Act and the ’34 Act, FINRA, SEC, broker dealer regulations and other relevant bank regulations; knowledge of SEC and FINRA laws, rules, and regulations as well as industry best practice.
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We’ve built the world’s leading decentralized exchange for advanced trading of crypto assets. Knowledgeable in a wide array of international laws, regulations, and frameworks relevant to payments/financial services, internet technology, and crypto, including banking regulations, money transmission laws, securities regulations, GDPR, BSA, CFPB, CFTC, FTC (including UDAAP), and more.
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Apply Now For Free Vice President, Enterprise Risk (Broker Dealer) Legend Similar Jobs AVP, Claims Manager - Personal Lines. New York City office of a BCG Attorney Search Top Ranked Law Firm seeks a chemistry attorney with 2-4 years of patent prosecution and counseling experience.
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FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
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Macquarie is a global financial group providing clients with asset management, retail and business banking, wealth management, leasing and asset financing, market access, commodity trading, renewables development, specialist advisory, capital raising and principal investment.
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We provide liquidity algorithmically across most cryptocurrency exchanges and trading platforms, a broad range of OTC trading solutions as well as support high profile blockchain projects and traditional financial institutions moving into crypto.
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Working across the organization, you'll develop strong interpersonal relationships, integrating with Macquarie Commodities Trading (principal and physical trading team) and Macquarie Capital (capital markets and advisory team) to lead negotiations with clients and internal support staff such as legal, credit and other teams.
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Experience with exchanges, market making, financial derivatives, cryptocurrency, and open source software. A leading decentralized finance (“DeFi”) company based in New York is in search of a skilled Senior Crypto Counsel to join our Legal Team. Reporting directly to the General Counsel, this role stands at the forefront of legal innovation in the ever-evolving world of decentralized finance.
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Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada, and Latin America and our capabilities span investment and corporate banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research.
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trading broker jobs in Pine City, NY
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