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Minimum 5 years' experience in a compliance officer role, with FINRA broker-dealer compliance experience a plus. You will have a primary focus as the deputy compliance officer for a US broker-dealer compliance program.
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5-7+ years of U.S. broker-dealer compliance expertise monitoring equity sales, trading, research and investment banking. Our client, a prestigious Broker-Dealer, seeks a Compliance Officer for their midtown NYC office.
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The Compliance Officer will assist the Chief Compliance Officer (CCO) in developing, implementing, and overseeing compliance programs for broker/dealer and investment advisor activities.
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A minimum of 7 years of relevant law firm or in-house counsel experience with a financial services company that includes broker-dealer matters, or experience with an industry regulator. Identify legal issues, conduct legal research, provide legal analyses, prepare legal documents such as memorandum, and providing legal solutions and recommendations.
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Prior experience managing legal and compliance teams, preferably with a broker dealer, self-regulatory organization, or a federal securities or commodities regulator. Candidates will ideally have 10 years of compliance and legal experience working for a proprietary trading firm, broker-dealer, clearing firm, SRO, or similar organization under FINRA’s purview.
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The Compliance Officer will report to a supervisor with the Wealth Management Broker/Dealer Compliance division. The Compliance Officer will work closely with the members of a team focusing on regulatory broker-dealer compliance issues with respect to monitoring public communications, marketing, licensing/registration, handling customer complaints, recordkeeping requirements, supervision, regulatory filings, etc.
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Proven analytical skills, understanding and demonstrated product knowledge of broker-dealer, equity sales and trading, investment banking and research coverage and production practices.
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Requirements Investment Banking, Capital Raising, Angel Investing, Broker-Dealer, Corporate Finance, Capital Markets, Equity Capital Markets, Financial Services, Private Equity, Private Equity Funding, Private Equity Firms, Management Consulting, Venture Capital, Transaction Advisory, Transaction Advisory Services, Mergers & Acquisitions, Due Diligence, Private Placements, Growth Capital, Seed Capital.
$100,000 - $250,000ExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986.
$100,000 - $165,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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The Vice President and Counsel will provide legal, regulatory and transactional support to our SEC and CFTC registered security-based swap dealer business and to our broker-dealer.
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As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. Research ad-hoc financial planning questions as necessary to further support our Advisors and their clients.
$81,500 - $135,900 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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5+ years of structuring or trading experience of asset-based securities at a broker dealer or investment firm. Screen securities and evaluate trade ideas in public structured products markets including ABS, CLO, RMBS and CMBS.
$100,000 - $200,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Member FINRA/SIPC. CFS is a broker/dealer and Registered Investment Advisor 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 Registered Investment Advisor with a stable track record of serving the investment needs of credit unions and their members.
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The successful candidate will play a pivotal role in the litigation practice, contributing to case strategy, legal research, document drafting, and court proceedings. Duties:Conduct legal research and analysis to support litigation strategy and case preparation.
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Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company.
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legal research broker dealer jobs Title: associate Company: Robert Half in Hurricane, West Virginia
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