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Preferred Certifications:Certification or coursework in securities law, investment adviser regulation, or broker-dealer compliance is advantageous. Possess knowledge of investment adviser, broker-dealer, and other securities and commodities regulations, with a focus on fintech companies.
$150Full-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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The Sr. Director will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker-dealers and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One. The broker-dealers include Capital One Securities, Inc., KippsDeSanto & Co., and TripleTree, LLC (collectively "Commercial Broker Dealers" or "CBDs.
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T3 Trading Group, LLC is an SEC-registered broker-dealer & Member of FINRA/SIPC. T3’s office headquarters is in lower Manhattan in the heart of the financial district. Exemption from the PDT Rule: Operate beyond the restrictions of the Pattern Day Trader rule as a professional proprietary trader.
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The ideal candidate will be a self-starter who is detail oriented and has retail or institutional broker dealer experience. B. Riley operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction and liquidation services.
Full-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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In this predominantly self-directed position, you will report to the Head of Supervision and oversee the daily management and review of investment advisor and broker-dealer branch offices.
Full-timeRemoteExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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Knowledge of investment adviser, broker-dealer, and/or other securities and commodities regulations, preferably with a focus on fintech companies. Family-building benefits including IVF, adoption, surrogacy, and egg-freezing.
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Meticulous attention to detail and exemplary research and analytical skills related to SEC and CFTC regulation and enforcement. The ability to think creatively and with nuance to develop problem-solving strategies and assess risk for clients while working solidly within applicable regulation.
$225,000 - $260,000 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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This position is responsible for providing strategic direction for the Company’s various compliance programs, making recommendations to enhance current assessment models, administering the U.S. compliance program for the Company’s Investment Management division, including registered investment adviser (RIA) and broker dealer (BD) compliance, and supporting the Compliance leadership team.
$150,000 - $200,000 a yearFull-timeExpandUpdated 1 month ago - UpvoteDownvoteShare Job
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Member FINRA/SIPC. CFS is a broker/dealer and RIA with a stable track record of serving the investment needs of credit unions and their members. CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable track record of serving the investment needs of credit unions and their members.
Full-timeExpandApply NowActive JobUpdated 6+ months ago - UpvoteDownvoteShare Job
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5-7 years of financial industry experience, specifically in a broker/dealer or RIA environment. Previously held Series 7, Series 24, or Series 66 licenses preferred. 5-7 years of financial industry experience, specifically in a broker/dealer or RIA environment.
$100,400 - $133,900 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Qualified solicitor in the UK or Ireland with approximately 6 -10 years experience working in cybersecurity law, preferably within a regulated e-money / payment services or financial services institution (e.g. e-money issuer, payment service firm, broker dealer / asset manager) or in a law firm supporting such clients (ideally with some previous in-house experience.
$218,450 - $257,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Products and solutions Together with its subsidiaries, New York Life provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds (1) through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals.
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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.
Full-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
$17 - $21 an hourFull-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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Minimum 2 years of financial services experience in an investor services-facing role – private equity, fund sponsor/administration, wealth management, or broker/dealer preferred. Minimum 2 years of financial services experience in an investor services-facing role – private equity, fund sponsor/administration, wealth management, or broker/dealer preferred.
$60,000 - $85,000 a yearFull-timeExpandApply NowActive JobUpdated 2 days ago
broker dealer jobs in Falls Church, VA
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