- Capital One (Mclean, VA)
- …We are seeking a highly motivated Accounting Manager to support Capital One Securities , a broker dealer registered with the Financial Industry Regulatory ... Manager, Broker Dealer Accounting Does the idea of working...Authority (FINRA) and the Securities Exchange Commission (SEC). Candidates should be self-starters responsible… more
- SMBC (New York, NY)
- …traded products. SMBC Nikko Securities America, Inc. is an SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...broker dealer businesses including derivatives, FX, repo and securities lending. As part of the first line of… more
- Marex (New York, NY)
- …work environment. Skills and Experience + Fifteen (15+) plus years of securities advisory experience. Knowledge of broker -dealer activities and requirements. + ... Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed… more
- SMBC (Jersey City, NJ)
- …financial reporting process and related internal control framework + Knowledge of securities broker dealer business, financial products and regulatory reporting ... NJ. This position will be responsible for SMBC Nikko Securities America, Inc, a registered broker dealer, which provides intvestment securities and other… more
- SMBC (New York, NY)
- …compliance experience at a broker dealer. + A solid foundation in US securities laws and regulations and broker dealer operations, products and services. + ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the… more
- M&T Bank (Baltimore, MD)
- …team on risk and control topics impacting the Institutional Broker -Dealer, Corporate Securities Underwriting, and Syndications/ Participations. **Primary ... defense risk management responsibilities of the Investment Bank and Institutional Broker -Dealer in accordance with the Enterprise Risk Framework. Oversee the… more
- Bank of America (New York, NY)
- …department on a wide variety of legal issues. Knowledge of the US securities laws, broker -dealer regulations, and banking regulations impacting the business, ... transactions and public-private interactions. + Experience with primary offerings and Securities Act issues helpful as is knowledge of processes concerning mortgage… more
- PNC (Pittsburgh, PA)
- …can sit in Pittsburgh, PA. The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will require the ability to ... * Experience working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting, and Settlements. * Broad knowledge and… more
- Raymond James Financial, Inc. (New York, NY)
- …Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker /dealer compliance and/or branch exams + Rules and ... and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage… more
- Siebert Williams Shank (New York, NY)
- …trading platform, and a sound regulatory capital base. We are a SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... (FINRA) and the Municipal Securities Rulemaking Board (MSRB). Our diverse professionals are not only committed to providing the highest level of value-added services… more
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