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Assist on other broker-dealer compliance matters as necessary. Legal & Compliance: Manage completion of conflicts checks; work with compliance and external FinOp on quarterly broker dealer filings; assist with regulatory examinations; perform e-communications reviews of broker-dealer associated persons; other ad hoc compliance projects.
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The Futures and Derivatives Group works closely with lawyers in our Blockchain & Cryptocurrency, Bank Regulation and Enforcement, Broker-Dealer Compliance and Regulation, Investment Management, Securities Enforcement, and Securities Litigation Groups.
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Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking an EVP of Finance & Operations to oversee the self-clearing brokerage operations, related affiliates and serve as a member of our executive team.
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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.
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By partnering with CUSO Financial Services, LP (CFS), the credit union and dedicated Financial Advisor have access to the best of both worlds, a regionally focused financial institution with an extremely loyal and engaged member base complemented by large scale broker-dealer with nationwide scope.
Starting at $250Full-timeExpandApply NowActive JobUpdated 3 months ago - UpvoteDownvoteShare Job
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These products include: life insurance, annuities, long term care insurance, disability insurance and investment products offered through our broker-dealer arm NYLIFE Securities LLC (member FINRA and SIPC), a Licensed Insurance Agency, and workplace solutions offered by our Business Solutions division.
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McDonnaugh Securities LLC is a fast-growing minority owned Broker/Dealer and Registered Investment Advisor. Company Description McDonnaugh Securities LLC is a fast-growing minority owned Broker/Dealer and Registered Investment Advisor.
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SUBJECT TO INVESTMENT RISKS, INCLUDING POSSIBLE LOSS OF THE PRINCIPAL AMOUNT INVESTED Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida.
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Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries, including Northwestern Long Term Care Insurance Company (NLTC), Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank.
$70,000 - $250,000 a yearExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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5-7 years of experience in the financial services space, either at a law firm or preferably some broker-dealer experience. Assist with litigation and regulation advisory matters that arise at a broker-dealer.
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FlexTrade Systems is a financial technology Software Company headquartered in Great Neck, New York. We are celebrating 26 years as the industrial pioneer and a global leader in broker-neutral, trading platforms for equities, foreign exchange, options, futures, and fixed income.
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Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida.
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Focus acquires and owns growth-oriented and client-centric wealth management firms, challenging the traditional broker/dealer and banking models. The Tax Director will manage all aspects of the income tax function including the tax compliance process globally, preparing all income tax provision calculations, tax financial reporting and M&A structuring.
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With over 160 years of experience, MassMutual has proven time and again it is the premier broker-dealer in the industry. Life, Health & Accident Insurance + FINRA education FREE to become a full-service Financial Planner within circa 12 months of joining (if you complete the licensing requirements.
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Discover how CWP’s fast-track Planning Associate program can help you become an in-demand Financial Services professional in a matter of months (not years). CWP is a modern, technology-driven, innovative, Financial Services business with a powerful team-focused approach to client success.
$62,500 - $144,000 a yearFull-timeExpandApply NowActive JobUpdated 2 days ago
financial broker dealer jobs in Uniondale, NY
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