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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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In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of CFTC, NFA, FINRA, and SEC rules and regulations applicable to swap dealer and broker dealer and FED rules applicable to banks.
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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. Job Title: Investment Banking Analyst, Healthcare Services and Technology.
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Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor ("RIA") affiliates of Société Générale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and practices with Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance.
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We have been operating in North America for over 100 years, providing a client-focused approach for global businesses with strong links to the UK. Our New York operations provides a gateway between the UK and North America for financial institutions and large corporate clients, offering core banking products such as lending, trade finance and a range of debt capital and financial markets services through our US broker dealer, Lloyds Securities Inc.
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Proven experience in MiFID regulatory reporting, statutory reporting, and financial planning & analysis within the financial services industry. Knowledge of broker dealer, MTF, ATS, APA or ARM or any regulated industry.
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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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Five (5) years of broker-dealer, compliance, financial or operational audits/investigations or related experience. 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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Working knowledge or familiarity with cryptocurrency and other financial services (e.g. payment services, remittance, etc.) Our client is a U.S incorporated company with operations in 16 African countries and is one of the first to bring cryptocurrency and related financial infrastructure products and services to Africa.
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This role will involve close association with our broker-dealer to ensure strict compliance with financial regulations and standards. 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.
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You have four to six years of experience in back/middle office trading support at a financial institution, hedge fund or administrator, and want to leverage this experience to provide support to Galaxys trading and investment operations, specifically around regulations, procedures and processes for our Swap Dealer Entity.
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Wells Fargo Securities (WFS) is the Capital Market and Investment Banking division of Wells Fargo Bank, NA. In its role as a major Broker Dealer, WFS provides market liquidity in Foreign Exchange Markets on continuous basis for its global customer base in US, EMEA & APAC regions.
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This will involve working closely with our broker-dealer to resolve customer queries and issues, while also serving as a key point of contact between the broker-dealer and dub.
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BackgroundEducation: Juris Doctor (JD) Required Experience: - years of experience in the financial services space, either at a law firm or preferably some broker-dealer experience.
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Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator. Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications.
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financial services broker dealer payment jobs in New York, WA, Ohio
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