- State of Arkansas (Little Rock, AR)
- …- $86,876 Job Summary The Securities Examiner I assists in evaluating securities firms, broker -dealers, and investment advisers in an attempt to ensure ... of financial markets. Primary Responsibilities Assist in conducting examinations of securities firms, broker -dealers, and investment advisers under 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 ... Manager, Broker Dealer Accounting Does the idea of working...Authority (FINRA) and the Securities Exchange Commission (SEC). Candidates should be self-starters responsible… more
- Broadridge Financial Solutions (Edgewood, NY)
- …to management. Requirements: + 10+ years of experience in financial services at large Broker Dealer. + Securities class action experience a plus. + Significant ... They will be responsible for some of Broadridges largest and most high-profile Broker Dealer clients and is expected to provide the highest level of client… 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. + Ability to communicate ... 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. (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
Recent Jobs
-
Staff Accountant
- Lovelace Biomedical Research Institute (Albuquerque, NM)
-
Compliance Risk Management Sr Analyst (Hybrid)- C12- AVP
- Citigroup (Irving, TX)
-
Associate Director, Program Lead - Clinical Site Management, CSP&O
- Daiichi Sankyo, Inc. (Bernards, NJ)
-
Director, Clinical Safety, MD (Rare Disease/Specialty Medicine)
- Daiichi Sankyo, Inc. (Bernards, NJ)