- 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 ... & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker /dealer) is seeking to add a motivated compliance professional...(FINRA) and the Municipal Securities Rulemaking Board (MSRB). Essential Duties and Responsibilities +… more
- Tradeweb (Jersey City, NJ)
- …Accounting department. The ideal candidate will have extensive knowledge of broker dealer operations, securities regulations, and financial reporting standards. ... from Dealerweb management team **Qualifications** + 5+ years of experience in securities accounting and/or broker dealer operations within the financial services… more
- SMBC (New York, NY)
- …traded products. SMBC Nikko Securities America, Inc. is a 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
- 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
- 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 ... Authority (FINRA) and the Securities Exchange Commission (SEC). Candidates should be self-starters responsible for managing a team of accounting professionals,… more
- SMBC (Jersey City, NJ)
- …of the Compliance Monitoring and Testing team to perform testing of its broker /dealer (SMBC Nikko Securities America, INC). The Vice President is responsible ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Raymond James Financial, Inc. (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 (Chicago, IL)
- …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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …management/ brokerage industry. + Advanced principles of banking and finance and securities broker /dealer operations. + Advanced concepts and regulations related ... **Work Experience** General Experience - 10 to 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority… 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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