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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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5+ years of structuring or trading experience of asset-based securities at a broker dealer or investment firm. Develop financial models and investment analysis using Intex, Trepp, and Bloomberg.
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You will also be responsible for identifying and building valuable use cases for data within the financial services domain (e.g., trading, broker-dealer, asset management, investment management.
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Deep understanding of broker-dealer services, investment advisory services, markets middle office and operations, clearance and collateral services; global payments, liquidity management, and trade finance services.
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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.
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Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout the Americas, EMEA and Asia. Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada, and Latin America.
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Job Requirements Strong domain expertise in the entire value chain for a broker-dealer Entire value chain of broker dealer – middle and back office, trade settlement, clearing ,custody, client reporting, services – margin + stock lending Market data processing – reference data for stocks.
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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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Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional clients, focusing on North America and Latin America.
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Have 7+ years of relevant experience with BSA/ WM and U.S. Banks Financial Crimes Risk Regulations within the financial services industry, or at a financial services regulator (e.g., FINRA, Securities and Exchange Commission, Office of the Comptroller of the Currency, Federal Reserve Bank, etc.
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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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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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The team is responsible for the regulatory policy making and production reporting processes and controls for capital, customer protection and FOCUS reporting for the institutional broker dealer and swap dealer while maintaining the primary interface with its regulators (SEC/FINRA and the CFTC/NFA) for financial responsibility matters involving the regulated entities in the United States.
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Our full range of advisory services includes strategic communications, investor relations, financial transactions and restructuring and interim management, management consulting, physical and cyber risk, organizational design, board and executive search, geopolitics and government affairs, corporate governance, ESG and DE&I.
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Trade, as well as Regulator or institutional broker dealer compliance experience preferred. Minimum of 7 years of experience within the financial services industry. General Description of Available Benefits for Eligible Employees of Truist Financial Corporation: All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position.
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financial services broker dealer jobs Title: general counsel in New York, WA, Ohio
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