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It Starts Here: Santander is a global leader and innovator in the financial services industry and is evolving from a high-impact brand into a technology-driven organization. Our people are at the heart of this journey and together, we are driving a customer-centric transformation that values bold thinking, innovation, and the courage to challenge what’s possible. This is more than a strategic shift. It’s a chance for driven professionals to grow, learn, and make a real difference. If you are interested in exploring the possibilities We Want to Talk to You! The Difference You Make: The Director, HNW Wealth Planner provides advanced financial planning, cross-border tax strategy, and holistic wealth guidance for high-net-worth (HNW) domestic and international clients within a broker-dealer environment. This role partners with financial advisors, relationship managers, and product teams to deliver customized planning solutions covering multi-jurisdictional tax considerations, estate planning, wealth transfer, philanthropic strategies, and investment-related tax optimization. The ideal candidate blends deep financial planning expertise, strong U.S. and international tax knowledge, and the ability to communicate complex matters to sophisticated global clients. Wealth & Financial Planning • Deliver comprehensive, goals-based wealth plans for high-net-worth (HNW) and ultra-high-net-worth (UHNW) individuals, families, and closely held entities within the U.S., including clients with complex domestic and cross-border considerations, • Analyze client objectives related to retirement planning, cash flow modeling, liquidity events, education funding, risk management, estate planning, and multigenerational wealth transfer., • Develop customized planning strategies incorporating strategic asset allocation, tax-aware portfolio construction, concentrated equity management, alternative investments, and insurance solutions., • Provide advanced guidance on U.S. federal and state tax considerations affecting HNW/UHNW clients, including income, capital gains, estate, and gift tax planning., • Evaluate tax implications of investment strategies, including equities, fixed income, municipal securities, alternatives, and retirement vehicles., • Design and implement tax-efficient strategies such as asset location, tax-loss harvesting, charitable giving (e.g., donor-advised funds, private foundations), and estate planning structures., • Collaborate with internal and external partners (CPAs, attorneys) to support complex planning strategies, including trusts, gifting programs, and business succession planning., • Act as a subject matter expert and advanced planning partner to financial advisors serving HNW and UHNW clients., • Participate in client meetings to present planning strategies, articulate tax implications, and provide actionable recommendations., • Partner with internal teams—including investments, trust & estate, lending, and insurance specialists—to deliver integrated wealth management solutions., • Ensure all recommendations align with U.S. regulatory standards, including SEC, FINRA, and Regulation Best Interest (Reg BI)., • Maintain thorough documentation supporting suitability, fiduciary considerations, and tax assumptions., • Educate advisors on U.S. wealth planning strategies, tax-efficient investing, retirement planning, and estate planning techniques relevant to HNW/UHNW clients., • Develop internal tools, planning frameworks, and case studies to enhance advisor capabilities., • Contribute to thought leadership on U.S. wealth trends, tax law changes, and planning strategies for HNW/UHNW clients. What You Bring: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. • Bachelor’s degree in Finance, Business, or related field (or equivalent experience) – Required., • 9+ years of experience in wealth planning, financial advisory, or private wealth management within the U.S. market, with a focus on HNW/UHNW clients., • Bilingual English/Spanish – Required., • Deep knowledge of U.S. tax rules (income, estate, gift, and investment taxation)., • Experience working with HNW/UHNW client structures, including trusts, estates, family offices, foundations, and closely held businesses., • Strong financial modeling, analytical, and client communication skills., • Demonstrated leadership, relationship management, and collaboration skills., • Strong understanding of U.S. wealth management products, services, and competitive landscape. Certifications: • Active FINRA Series 7 required - Required., • Active Series 66 (or Series 63 and 65) licenses - Required. It Would Be Nice For You To Have: • Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education., • Experience working in a broker-dealer or registered investment advisor (RIA) environment., • Familiarity with financial planning software (e.g., eMoney, MoneyGuidePro) and Microsoft Office Suite., • Professional designations such as CFP®, CPA, CFA, or CTFA – preferred. What Else You Need To Know: The base pay range for this position is posted below and represents the annualized salary range. For hourly positions (non-exempt), the annual range is based on a 40-hour work week. The exact compensation may vary based on skills, experience, training, licensure and certifications and location. Base Pay Range: Minimum: $116,250.00 USD Maximum: $210,000.00 USD We Value Your Impact: Your contribution matters and it’s recognized. You can expect a fair and competitive rewards package that reflects the impact you create and the value you deliver. We know rewards go beyond numbers. Offering more than just a paycheck our benefits are designed to support you, your family and your well-being, now and into the future. ___ Risk Culture: We embrace a strong risk culture and all of our professionals at all levels are expected to take a proactive and responsible approach toward risk management. EEO Statement: At Santander, we value and respect differences in our workforce. We actively encourage everyone to apply. Santander is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status or any other characteristic protected by law. Working Conditions: Frequent minimal physical effort such as sitting, standing and walking is required for this role. Depending on location, occasional moving and lifting light equipment and/or furniture may be required. Employer Rights: This job description does not list all of the job duties of the job. You may be asked by your supervisors or managers to perform other duties. You may be evaluated in part based upon your performance of the tasks listed in this job description. The employer has the right to revise this job description at any time. This job description is not a contract for employment and either you or the employer may terminate your employment at any time for any reason. What To Do Next: If this sounds like a role you are interested in, then please apply. We are committed to providing an inclusive and accessible application process for all candidates. If you require any assistance or accommodation due to a disability or any other reason, please contact us at ___ to discuss your needs.

It Starts Here: Santander is a global leader and innovator in the financial services industry and is evolving from a high-impact brand into a technology-driven organization. Our people are at the heart of this journey and together, we are driving a customer-centric transformation that values bold thinking, innovation, and the courage to challenge what’s possible. This is more than a strategic shift. It’s a chance for driven professionals to grow, learn, and make a real difference. If you are interested in exploring the possibilities We Want to Talk to You! The Difference You Make: The Sr. Associate, Investment Supervision oversees a group of Financial Advisors to ensure compliance with FINRA rules and industry regulations. The incumbent reviews new accounts, trade activity and daily trade blotters as a player/coach. The Sr. Associate, Investment Supervision works directly with Financial Consultants and field managers to resolve any documentation deficiencies and escalate cases as deemed appropriate. • Identifies, evaluates and documents trades for Regulation Best Interest / suitability in accordance with FINRA rules and industry regulations., • Reviews and assesses best interest / suitability associated with new accounts and /or products., • Partners with Directors in the field to help them resolve exceptions in a timely manner., • Reviews transaction exceptions reports using rules based processes and close noted trade alerts., • Raises inquiries for suspicious trades and communication red flags, conduct research independently and deeply, and communicate in accordance with the established procedure, and ensure timely closure of identified surveillance issues., • Works with Compliance, Operations and other Santander functions closely to research industry trends and peer practice, and continue improving our review process effectiveness., • Develops knowledge of financial markets, asset management and financial regulations in order to build a deep understanding of investment/trading risks., • Provides backup coverage and cross-train others. What You Bring: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. • Bilingual English/Spanish. - Required., • Bachelor's Degree or equivalent work experience: Sales Supervision, Compliance, Risk or equivalent field. - Preferred., • 9+ Years Supervision, compliance, audit, or regulatory experience. - Preferred., • Strong analytical background with the ability to analyze and summarize findings in a concise and clear format Excel., • Detailed oriented and possess high ethical standards., • Knowledge of Equity, FX, Credit, Structured Products, Alternatives trading and investment, and/or experience working in the front desk, risk, regulatory, legal or audit fields., • Ability to operate independently within guidelines, policies, directives and established precedence., • Strong technical skills, particularly with respect to Microsoft Excel., • Genuine interest in and understanding of financial markets., • Familiarity with a broad range of asset classes, including derivatives., • Strong communication skills and the ability to interact confidently with others., • Ability to work independently with minimal supervision, while also maintaining appropriate levels of collaboration and cooperation with other team members., • Intellectual curiosity and problem solving skills., • Sensitivity and tact must be especially evident in the performance of trade monitoring., • Solid understanding of applicable Federal and State laws applicable to SEC registered broker-dealer., • Strong analytical and investigative skills and demonstrated ability to operate at a strategic level., • Sound judgment in identifying risks in order to proactively escalate with relevant senior management., • Excellent written (drafting & editing) and spoken communication abilities., • Excellent teamwork, interpersonal and conflict resolution skills. Certifications: • FINRA (Financial Industry Regulatory Authority): FINRA Series 7 and Series 24 (Series 9 and 10, may replace the requirements for Series 24). - Required., • FINRA (Financial Industry Regulatory Authority): FINRA Series 53 and Series 4 - Preferred. It Would Be Nice For You To Have: • Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education., • Experience in Microsoft Office products. What Else You Need To Know: The base pay range for this position is posted below and represents the annualized salary range. For hourly positions (non-exempt), the annual range is based on a 40-hour work week. The exact compensation may vary based on skills, experience, training, licensure and certifications and location. Base Pay Range: Minimum: $86,250.00 USD Maximum: $165,000.00 USD We Value Your Impact: Your contribution matters and it’s recognized. You can expect a fair and competitive rewards package that reflects the impact you create and the value you deliver. We know rewards go beyond numbers. Offering more than just a paycheck our benefits are designed to support you, your family and your well-being, now and into the future. ___ Risk Culture: We embrace a strong risk culture and all of our professionals at all levels are expected to take a proactive and responsible approach toward risk management. EEO Statement: At Santander, we value and respect differences in our workforce. We actively encourage everyone to apply. Santander is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status or any other characteristic protected by law. Working Conditions: Frequent minimal physical effort such as sitting, standing and walking is required for this role. Depending on location, occasional moving and lifting light equipment and/or furniture may be required. Employer Rights: This job description does not list all of the job duties of the job. You may be asked by your supervisors or managers to perform other duties. You may be evaluated in part based upon your performance of the tasks listed in this job description. The employer has the right to revise this job description at any time. This job description is not a contract for employment and either you or the employer may terminate your employment at any time for any reason. What To Do Next: If this sounds like a role you are interested in, then please apply. We are committed to providing an inclusive and accessible application process for all candidates. If you require any assistance or accommodation due to a disability or any other reason, please contact us at ___ to discuss your needs.

Job Description Financial Professional Are you a leader who has the following traits? • Competitive, • Entrepreneurial, • Coachable, • Communicative, • Self-disciplined, • Authentic If the answer is yes, consider becoming an insurance agent to drive positive impact in the lives of families every day. At New York Life, you’re in control of your career journey. Backed by a Fortune 100 company that is a leader in the financial services industry, New York Life will invest in you from the start, training you in valuable skills such as marketing, customer relationship management (CRM) and communication, and providing you with a development team and sales support to guide your success. What we’re looking for... We’re looking for people who want to make a lasting impact on the financial well-being of individuals, families, and small businesses. This is not just a sales job—it’s a career with purpose and opportunity. You’ll provide peace of mind to your clients while helping them navigate challenges that many of them find complex and confusing, such as preparing for retirement and saving for college. As an insurance agent, you will have the opportunity to see the positive impact of your work for years to come. You will grow personally and professionally along with your clients. What we offer... Training and development We’ll equip and train you with a multifaceted approach that includes an industry-leading learning platform, personalized coaching from dedicated training professionals, and the ability to obtain industry professional designations. We are so committed to training that we’ll subsidize it in your first two years, providing you with additional funds to help keep you on your feet while you complete our training program and grow your business. You’ll also get rewarded and acknowledged with sales incentives and professional-development trips for our top-performing insurance agents. Digital tools Beyond this training and support, New York Life will equip you with the tools you need to succeed day-to-day, including experts on hand to answer your questions and a suite of digital sales, prospecting, and marketing tools that will help you attract and retain your clients with web, social, and email content. 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 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. You’ll also be able to specialize and gain expertise in different areas, such as by becoming a financial advisor with Eagle Strategies LLC, our investment advisory division, to offer wealth management and advisory services, estate planning strategies, and business solutions. Human guidance When you join New York Life, you’re joining a strong team with peer-to-peer support options like study groups, mentorship, and other opportunities to engage with your fellow insurance agents. How we will compensate you. You have the power to determine your own income with our commission-based compensation. In 2022, the average income of our agents under the N8 and N9 Agent’s Contract who met annual minimum sales production requirements was $115,917. Individual agent performance will determine your income. Benefits include medical, dental, vision, life, and disability insurance, as well as a 401(k) and pension. About New York Life... New York Life is a Fortune 100 company with a long history of doing good. We have been in business for over 175 years, helping generations of Americans protect their families and attain their financial goals. As a mutual company, we are accountable only to our policyholders, not to Wall Street or outside investors. We are focused on the long-term success of our clients. Awards & Accolades... We’re proud of our financial strength. • A++ Superior (A.M. Best), • AAA Exceptionally Strong (Fitch), • Aaa Exceptional (Moody’s), • AA+ Very Strong (Standard & Poor’s) We’re proud of the training we offer. • Training Magazine’s APEX Award for 2022 We’re proud to be recognized by organizations that also value diversity. • Human Rights Campaign: 2022 Corporate Equality Index, • Forbes 2022: America’s Best Employers for Diversity, • Latino Leaders 2022 Best Companies for Latinos to Work For We’re proud of the help we’ve provided and continue to provide our clients. • 5.3 million LIVES PROTECTED. Includes all owners of individual life insurance and annuity policies, • $579 million LIFETIME ANNUITY INCOME PAID. Includes all payouts on individual income annuity products., • $4.5 billion IN LIVING BENEFITS AWARDED. Includes life and annuity cash value accumulation and qualifying policy dividends paid. Dividends are not guaranteed., • Over $1.2 trillion LIFE INSURANCE PROTECTION IN FORCE. Includes term, whole, and universal life. If you are interested in becoming a Financial Services Professional, please contact me at: or 786-205-3365 New York Life is an Equal Opportunity Employer – M/F/Veteran/Disability/Sexual Orientation/Gender Identity Company DescriptionAbout New York Life New York Life is a Fortune 100 company with a long history of doing good. We have been in business for over 180 years, helping generations of Americans protect their families and attain their financial goals. As a mutual company, we are accountable only to our policyholders, not to Wall Street or outside investors. We are focused on long-term success for our clients. To prepare for the future, we are constantly innovating and looking ahead to find more ways to increase value for our clients. Awards & Accolades... We’re proud of our financial strength • A++ Superior (A.M. Best), • AAA Exceptionally Strong (Fitch), • Aaa Exceptional (Moody’s), • AA+ Very Strong (Standard & Poor’s) We’re proud of our positions in the industry • New York Life named a 2021 “Elite Gold Organization” by Chief Learning Officer magazine, • Latino Leaders: 2022 Best Companies for Latinos to Work, • Human Rights Campaign: 2022 Corporate Equality Index, • Forbes 2022: America’s Best Employers for Diversity We’re proud of the help we’ve provided and continue to provide our clients • 5.5 million lives Protected (includes all owners of individual life insurance and annuity policies), • $4.9 Billion in living benefits awarded (includes life and annuity cash value accumulation and qualifying policy dividends paid. Dividends are not guaranteed), • $938 million lifetime annuity paid (includes all payouts on individual income annuity products), • Over $1.1 trillion life insurance protection in force (includes term, whole and universal life)About New York Life\n\nNew York Life is a Fortune 100 company with a long history of doing good. We have been in business for over 180 years, helping generations of Americans protect their families and attain their financial goals. As a mutual company, we are accountable only to our policyholders, not to Wall Street or outside investors. We are focused on long-term success for our clients. To prepare for the future, we are constantly innovating and looking ahead to find more ways to increase value for our clients.\n\nAwards & Accolades...\n\nWe’re proud of our financial strength\n• A++ Superior (A.M. Best)\n• AAA Exceptionally Strong (Fitch)\n• Aaa Exceptional (Moody’s)\n• AA+ Very Strong (Standard & Poor’s)\n\nWe’re proud of our positions in the industry\n• New York Life named a 2021 “Elite Gold Organization” by Chief Learning Officer magazine\n• Training Magazine’s Training Top 100 for 20216\nWe’re proud to be recognized by organizations that also value diversity\n• Latino Leaders: 2022 Best Companies for Latinos to Work\n• Human Rights Campaign: 2022 Corporate Equality Index\n• Forbes 2022: America’s Best Employers for Diversity\n\nWe’re proud of the help we’ve provided and continue to provide our clients\n• 5.5 million lives Protected (includes all owners of individual life insurance and annuity policies)\n• $4.9 Billion in living benefits awarded (includes life and annuity cash value accumulation and qualifying policy dividends paid. Dividends are not guaranteed)\n• $938 million lifetime annuity paid (includes all payouts on individual income annuity products)\n• Over $1.1 trillion life insurance protection in force (includes term, whole and universal life)

Job Description Serves to ensure regulatory compliance and corporate mandates for all administrative, sales, and operational activities performed by Amerant Investments registered associates. Primarily responsible for limiting risk and financial exposure to the business unit and the firm. Responsible for day to day front line supervision, including mandated supervisory reviews and enterprise alerts, trade and trade correction. Responsibilities: • Coach and drive good behaviors and best practices to operate within the Firms' risk control and promote operational excellence., • Ensures firm compliance with all policies and procedures., • Review and maintain all Client, Compliance and Regulatory Incoming and Outgoing Correspondence., • Monitor and review client accounts for potential risk with regards to trading activity, solicitations and active client reviews., • Monitors transactions for adherence to regulatory requirements, • Prepares various reports, including but not limited to Audit, Compliance monitoring reports and FINRA and SEC report., • With support of the Managing Principal and Chief Compliance Officer, creates and revises internal controls and procedures to assure compliance with laws, regulatory issuances and internal policies. Support with the implemention and enforcement of AMTI’s written supervisory procedures (WSPs)., • Provide training and guidance to AMTI staff regarding changes to supervisory procedures., • Review best execution trade blotters for the fixed income trading desk, • Identifies, evaluates, monitors and makes recommendations to assess, reduce, eliminate or control any current or prospective risks to earnings or capital arising from violations of, or nonconformance with, laws, rules regulations, prescribed practices, internal policies and procedures or ethical standards., • Assists the Managing Principal and Chief Compliance Officer with all matters relater to regulators, examiners and internal and external auditors including but not limited to FINRA and SEC, • Ensures proper reporting of violations or potential violations to Chief Compliance Officer as appropriate and/or required., • Provide workflow approval for cases requiring principal review in a timely manner. Bachelor’s degree in finance, business administration or economics Minimum Work Experience Requirements: Minimum of 1 year of Broker Dealer and RIA compliance or related experience (e.g. 1940 Act, 1933 Act, 1934 Act, FINRA rules and regulations). FINRA Series 7, 24 required Technical and/or Other Essential Knowledge: Ability to read and interpret rules and regulations. Previous experience with Internet and suite of MS Office applications skills. Proficiency in NetX360, FINRA Gateway, Protegent preferred. Operates with minimal assistance from supervisors.

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role: Alpaca's product team is looking for a Lead Product Manager to own Alpaca's regulated crypto product surface and to step into a leading role across our crypto programs. In this role you will own and grow a portfolio that spans crypto trading and multi-asset cross-margin, borrow / lend / earn, custody and on-chain settlement, tokenization (transfer agent, tokenized money market funds, on-chain issuance), and partnership programs from idea to launch. You will partner deeply with engineering, compliance, legal, partnerships, and the broader Alpaca product team to ship regulated crypto infrastructure at scale. You will help shape and grow the crypto product itself, and you will be expected to provide early signal on US policy changes rather than react after rules formalize. Things You Get To Do: * Product Ownership & Strategy • Lead Alpaca's crypto product strategy across trading, borrow / lend / earn, custody, on-chain settlement, and tokenization., • Own flagship initiatives end-to-end — including multi-asset cross-margin, licensing build-out, transfer-agent-licensed tokenization, on-chain issuance for partners, stock loan tokenization, and tokenized money market funds., • Drive build-vs-buy, partner-vs-direct, and onshore-vs-offshore tradeoffs across regulated crypto products., • Take leadership of a portfolio of in-flight crypto projects, with the autonomy to set priorities, escalate tradeoffs, and unblock the team. Partnerships & Growth • Take partnership programs end-to-end: idea → launch → PR → growth (e.g. exchange-grade partnerships)., • Run discovery with prospective and existing partners — broker-dealers, exchanges, custodians, stablecoin issuers, neobanks, and institutional clients., • Translate partner needs into prioritized product decisions with clear "yes / no / not now" framing that doesn't over-promise. Regulatory & Policy • Engage directly with US regulators and policy stakeholders (NY DFS, SEC, FinCEN, FINRA), partnering with internal legal and compliance on transfer-agent, broker-dealer, and tokenized-securities frameworks., • Provide an early heads-up on US policy changes - feed signal into the broader Alpaca roadmap before rules formalize., • Own the operational and regulatory implications of crypto product launches (custody, settlement, AML, market integrity). Team & Leadership • Help build and develop the Alpaca crypto PM team; hire and ramp existing PMs, set bar and standards across the cluster., • Represent crypto in cross-functional forums; product reviews, partner exec syncs, and leadership-level discussions., • Ad hoc duties and projects as assigned. Who You Are (Must Haves): • Excited about what Alpaca is building and ready to take a leadership role across our most ambitious crypto programs., • Bachelor's degree in computer science, engineering, finance, or equivalent., • 8+ years of experience in Product Management, Engineering, and/or starting a startup, with senior-level ownership in crypto, brokerage, exchanges, or financial infrastructure., • Demonstrated ownership of regulated crypto products at production scale across any of the following: borrow / lend / earn, multi-asset cross-margin, custody, on-chain settlement, tokenization, or stablecoin / payment rails., • Direct experience navigating US crypto regulatory frameworks — NY DFS BitLicense, SEC transfer-agent rules, FinCEN, FINRA broker-dealer rules, and SEC tokenized-securities frameworks., • Track record of taking partnership programs from idea to launch to PR to growth., • AI-native PM workflow; AI is part of your daily stack in getting work done., • Business acumen to understand tradeoffs between stakeholders and technology feasibility with time and budget constraints. Who You Might Be (Nice-to-Haves): • Hands-on web3 / on-chain engineering fluency — wallets, L1/L2, atomic on-chain mint flows, MEV-aware design., • Experience with tokenized money market funds, tokenized securities, RWA issuance, or other regulated tokenized-asset products., • Direct experience launching crypto borrow / lend, prime brokerage, or cross-margin products at scale., • Familiarity with onchain settlement layers (including broker-dealer integration patterns) and stablecoin payment rails., • Direct experience navigating SEC / DFS / FINRA in a startup setting, not just at a large bank or exchange., • Background combining regulated financial product context (broker-dealer, exchange, custodian) with crypto-native infrastructure. How We Take Care of You: • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job DescriptionJOB SUMMARY The Investment Counselor is responsible for providing high-touch, comprehensive investment guidance and tailored solutions to clients within the Wealth Management Division of a bank’s broker-dealer. This role requires the ability to analyze and assess clients’ financial goals, risk tolerance, and investment needs while offering personalized portfolio management and investment advice. Investment Counselors work closely with Financial Advisors, Private Bankers, and other Wealth Management professionals to deliver an integrated service offering. This role requires extensive knowledge of financial markets, investment products, regulations, and wealth management strategies to ensure delivery of superior client service and financial advice in alignment with client objectives. DUTIES OF THE POSITION The duties of the position include, but are not limited to, the following: Client Relationship Management: * Develop and maintain strong relationships with high-net-worth (HNW) and ultra-high-net-worth (UHNW) clients, providing personalized investment advice to help meet their long-term financial goals. * Regularly meet with clients to discuss investment performance, portfolio strategies, risk tolerance, and changes in financial objectives. * Provide expert guidance on investment strategies across asset classes (equities, fixed income, alternatives, private equity, etc.). * Assist clients in portfolio construction, rebalancing, and optimizing asset allocation in accordance with their risk profile and financial objectives. Portfolio Management & Advisory: * Lead the design and implementation of customized investment strategies and portfolio solutions based on comprehensive client needs assessments. * Monitor, evaluate, and rebalance client portfolios as needed to ensure they align with the agreed-upon investment strategy and market conditions. * Provide detailed market insights and investment performance updates to clients, ensuring they are informed of any significant changes or opportunities in the market. * Leverage a combination of proprietary investment products, third-party offerings, and institutional strategies to create diversified portfolios that meet the client’s financial objectives. Investment Research & Analysis: * Conduct thorough analysis of financial markets, economic trends, and asset classes to provide actionable investment insights. * Work with internal and external research and product specialist teams to stay updated on market conditions, investment trends, and new products and strategies. * Utilize sophisticated financial models, risk management tools, and technology platforms to assess potential investments and make recommendations. Collaboration with Wealth Management Teams: * Collaborate closely with financial advisors, relationship managers, and other professionals within the wealth management division to ensure clients receive holistic wealth solutions. * Partner with the Private Banking team to coordinate investment strategies with clients’ broader wealth planning, tax, estate, and philanthropic objectives. * Educate and train junior staff on investment strategies, market developments, and client relationship management techniques. Compliance and Risk Management: * Adhere to all relevant regulatory and compliance standards, including SEC, FINRA, and bank policies regarding investment advice, suitability, and portfolio management. * Monitor portfolio risk and ensure that investment recommendations meet the clients’ risk tolerance and are in line with the bank’s internal guidelines and best practices. * Ensure all client interactions and investment transactions are documented and compliant with regulatory and internal requirements. Business Development: * Actively participate in business development efforts to attract new clients, including providing investment presentations, preparing proposals, and attending client meetings. * Assist with cross-selling other banking and financial services, contributing to the growth of the wealth management division. * Attend industry events, conferences, and networking functions to promote the bank’s investment services and stay ahead of market trends. GENERAL REQUIREMENTS FOR THIS POSITION: * Strong understanding of financial markets, economic trends, and financial instruments. * Excellent communication and presentation skills, with the ability to simplify complex financial concepts for clients. * High degree of professionalism, integrity, and client focus. * Strong analytical, problem-solving, and decision-making skills. * Ability to work independently and collaboratively within a team environment. * Strong organizational and time-management skills, with the ability to manage multiple client relationships effectively. * Ability to understand, speak (fluently), read and write English and Spanish * Ability to write routine reports and correspondence * Ability to multitask and work under pressure * Effectively speaking before groups of customers or employees * Assume evolving duties and responsibilities of position * Work all hours required to fulfill job duties and responsibilities including, weekends, evenings and holidays as needed) * Travel as required * Provide coverage for other positions as requested * Ability to carry and lift boxes and/or other objects that may weigh between 10 and 25 pounds. * Perform additional duties and responsibilities as assigned by management Bci Securities is an Equal Opportunity Employer - All qualified applicants will receive consideration without regard to race, color, religion, gender, national origin, age, disability, veteran status, or any other factor determined to be unlawful under applicable law.

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role: Alpaca's product team is looking for Product Managers to own a core crypto product surface across our broker-as-a-service platform. In this role you will ship features across one of crypto trading, custody and wallets, tokenization, or on-chain settlement. Directly shaping how broker-dealers, fintech apps, and institutional partners build crypto into their products on top of Alpaca. You will work closely with engineering, compliance, legal, partnerships, and other product teams to take regulated crypto infrastructure from concept to scale. You will treat developers and partners as primary customers, run discovery against their real integration constraints, and translate that into a roadmap that balances growth, regulatory reality, and platform economics. Things You Get To Do: Product Ownership & Execution: • Own one core crypto product surface end-to-end: trading and exchange flows, custody and wallet infrastructure, tokenized securities and RWA, or on-chain settlement and payment rails., • Drive product decisions in your area by analyzing ROI, partner demand, market structure, regulatory constraints, and build-vs-buy tradeoffs., • Contribute to the broader crypto roadmap with a focus on B2B and B2B2C surfaces — SDKs, APIs, partner enablement, and reference integrations., • Write product requirements and partner directly with engineers to ship to production at the cadence of a high-growth platform. Partner Engagement & Developer Experience: • Run discovery with current and prospective partners — broker-dealers, fintech apps, neobanks, and institutional clients — integrating Alpaca's crypto APIs., • Translate partner feedback into clear product decisions, including pushing back on requests that do not fit the platform without over-promising or losing partner trust., • Improve the developer experience for crypto: API ergonomics, documentation, SDKs, and sandbox parity with production. Compliance & Operations: • Partner with compliance and legal on product decisions that touch licensing, custody, KYC/AML, market structure, and tokenization frameworks (regulator-facing strategy is led by the Crypto Lead; your seat is shipping execution that lands the resulting requirements cleanly)., • Improve operational efficiency in your surface — reconciliation between on-chain and ledger state, settlement workflows, exception handling — and own the metrics., • Report timely and accurately on product status and results to internal and external stakeholders, including partners and institutional clients Who You Are (Must Haves): • Excited about what Alpaca is building and passionate about expanding crypto infrastructure for partners building real financial products., • Bachelor's degree in computer science, engineering, finance, or equivalent., • 5+ years of experience in Product Management, Engineering, and/or starting a startup, preferably within crypto, brokerage, exchanges, or financial infrastructure., • Demonstrated depth on at least one core crypto product surface: exchange / trading, custody / wallets, tokenization, or on-chain settlement. Ideally shipped at production scale., • Experience building and shipping B2B and developer-facing products: SDKs, APIs, partner integrations. Where developers and partners are the primary customer, not just end users., • Strong written and verbal communication, with excellent collaboration across engineering, compliance, partnerships, and other product teams., • Business acumen to understand tradeoffs between stakeholders and technology feasibility with time and budget constraints., • AI-native PM workflow: recurring use of tools like Cursor, Claude, ChatGPT, NotebookLM, or custom agents in PRD drafting, customer-call synthesis, data exploration, and prototyping. Who You Might Be (Nice-to-Haves): • Background that combines regulated financial product context (broker-dealer, exchange, payments, custodian) with crypto-native infrastructure (wallets, L1/L2, ZK, on-chain settlement)., • Direct experience at a crypto exchange, custodian, or institutional crypto infrastructure provider., • Experience with tokenized securities, RWA, stablecoin payment rails, or institutional digital asset products., • Familiarity with the US and global crypto regulatory landscape — FinCEN, NY DFS BitLicense, SEC frameworks, and equivalent global regimes., • Experience operating at startup speed inside a regulated environment, making assumptions in real time without waiting for stakeholder alignment. How We Take Care of You: • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job Description New York Life Accelerated Path to Management Program Are you looking for a job where you can use your experience to propel your career into management? At New York Life, we will invest in you from the start to help you learn and grow as a financial professional first. We’ll train you in valuable skills, such as marketing, business development, and customer relationship management, and provide you with the tools you need to further your career. Then we’ll train you and provide you with access to the tools you need for a career in management. What we’re looking for We’re looking for people who want to make a lasting impact on the financial well-being of individuals, families, and small businesses—motivated people who can answer yes to one of the following questions: • Do you have sales or managerial experience in another industry?, • Have you previously run your own business?, • Do you have an MBA or other equivalent degree? In the Accelerated Path to Management Program, you’ll start off as a financial professional, learning how to sell our products, building client relationships, and meeting specific requirements1 before transitioning into a management role. You’ll then undergo a six-month intensive training program designed to prime you for success as a manager. You will use that experience to understand how to recruit and coach others to success. What we offer Your first year You’ll learn firsthand about a financial professional’s role and day-to-day work by working as a financial professional for the first year of your career journey with New York Life. We will provide you with complete training, access to digital tools, and a comprehensive product suite. Training and resources You will receive top-notch training that will give you an understanding and appreciation for the strength and value of New York Life. Beyond this training and support, New York Life will provide access to the resources you need to succeed day-to-day, including experts on hand to answer your questions and a suite of digital sales, prospecting and marketing tools that will help you attract and retain your clients with web, social and email content. Product Solutions You will learn about our robust products and services that can help clients and their families achieve their financial goals. Together with its subsidiaries, New York Life provides a range of competitive insurance and financial products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities licenses and FINRA registrations and affiliate with NYLIFE Securities as a registered representative before you can offer investment products. Your transition to a Field Manager role After meeting specific requirements for the first 12 months as a financial professional, you will enter a specialized six-month Associate Partner training program. We’ll help you to lead and build your team of financial professionals. Throughout your career journey with New York Life, you’ll continue to have opportunities to grow and be promoted to increasingly senior levels of management. How we will compensate you When you begin with New York Life as a financial professional, you will receive income that is commission-based. If you meet the requirements and approvals to become an Associate Partner, you will receive a salary. The salary range for an Associate Partner is $60,000–$150,000 (in California, the salary range is $62,400–$150,000), plus you will be eligible for additional compensation related to the agents you recruit and develop (“R&Ds”). R&Ds are additional compensation that is designed to increase your income and to reimburse for any reasonable and necessary expenses we do not otherwise reimburse. You will also be eligible for medical, dental, and vision benefits, life, long-term disability, and accidental death and dismemberment coverages, a pension plan, and a 401(k) savings plan. New York Life will value and reward your hard work and success. You’ll have significant income potential over time, because our field managers’ compensation is directly aligned with their recruiting performance and the production level of their team of financial professionals. The average income among our 586 recruiters at all levels in 2021 was $270,890. About New York Life New York Life is a Fortune 100 company with a long history of doing good. We have been in business for over 175 years, helping generations of Americans protect their families and attain their financial goals. As a mutual company, we are accountable only to our policyholders, not to Wall Street or outside investors. We are focused on long-term success for our clients. To prepare for the future, we are constantly innovating and looking ahead to find more ways to increase value for our clients. Awards & Accolades We’re proud of our financial strength • A++ Superior (A.M. Best), • AAA Exceptionally Strong (Fitch), • Aaa Exceptional (Moody’s), • AA+ Very Strong (Standard & Poor’s) We’re proud of the training we offer • Training Magazine’s APEX Award for 2022 We’re proud the be recognized by organizations that also value diversity • Latino Leaders: 2022 Best Companies for Latinos to Work For, • Human Rights Campaign: 2022 Corporate Equality Index, • Forbes 2022: America’s Best Employers for Diversity We’re proud of the way we serve our clients • 5.5 million lives protected (includes all owners of individual life insurance and annuity policies), • $4.9 billion in living benefits awarded (includes life and annuity cash value accumulation and qualifying policy dividends paid. Dividends are not guaranteed.), • $938 million lifetime annuity paid (includes all payouts on individual income annuity products), • Over $1.1 trillion life insurance protection in force (includes term, whole, and universal life) If you are interested in becoming a Partner/Financial Sales Manager, please contact me at: or 786-205-3365 New York Life is an Equal Opportunity Employer – M/F/Veteran/Disability/Sexual Orientation/Gender Identity Company DescriptionAbout New York Life New York Life is a Fortune 100 company with a long history of doing good. We have been in business for over 180 years, helping generations of Americans protect their families and attain their financial goals. As a mutual company, we are accountable only to our policyholders, not to Wall Street or outside investors. We are focused on long-term success for our clients. To prepare for the future, we are constantly innovating and looking ahead to find more ways to increase value for our clients. Awards & Accolades... We’re proud of our financial strength • A++ Superior (A.M. Best), • AAA Exceptionally Strong (Fitch), • Aaa Exceptional (Moody’s), • AA+ Very Strong (Standard & Poor’s) We’re proud of our positions in the industry • New York Life named a 2021 “Elite Gold Organization” by Chief Learning Officer magazine, • Latino Leaders: 2022 Best Companies for Latinos to Work, • Human Rights Campaign: 2022 Corporate Equality Index, • Forbes 2022: America’s Best Employers for Diversity We’re proud of the help we’ve provided and continue to provide our clients • 5.5 million lives Protected (includes all owners of individual life insurance and annuity policies), • $4.9 Billion in living benefits awarded (includes life and annuity cash value accumulation and qualifying policy dividends paid. Dividends are not guaranteed), • $938 million lifetime annuity paid (includes all payouts on individual income annuity products), • Over $1.1 trillion life insurance protection in force (includes term, whole and universal life)About New York Life\n\nNew York Life is a Fortune 100 company with a long history of doing good. We have been in business for over 180 years, helping generations of Americans protect their families and attain their financial goals. As a mutual company, we are accountable only to our policyholders, not to Wall Street or outside investors. We are focused on long-term success for our clients. To prepare for the future, we are constantly innovating and looking ahead to find more ways to increase value for our clients.\n\nAwards & Accolades...\n\nWe’re proud of our financial strength\n• A++ Superior (A.M. Best)\n• AAA Exceptionally Strong (Fitch)\n• Aaa Exceptional (Moody’s)\n• AA+ Very Strong (Standard & Poor’s)\n\nWe’re proud of our positions in the industry\n• New York Life named a 2021 “Elite Gold Organization” by Chief Learning Officer magazine\n• Training Magazine’s Training Top 100 for 20216\nWe’re proud to be recognized by organizations that also value diversity\n• Latino Leaders: 2022 Best Companies for Latinos to Work\n• Human Rights Campaign: 2022 Corporate Equality Index\n• Forbes 2022: America’s Best Employers for Diversity\n\nWe’re proud of the help we’ve provided and continue to provide our clients\n• 5.5 million lives Protected (includes all owners of individual life insurance and annuity policies)\n• $4.9 Billion in living benefits awarded (includes life and annuity cash value accumulation and qualifying policy dividends paid. Dividends are not guaranteed)\n• $938 million lifetime annuity paid (includes all payouts on individual income annuity products)\n• Over $1.1 trillion life insurance protection in force (includes term, whole and universal life)

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role: Reporting to the Vice President, the Commercial Counsel will have exceptional negotiating and drafting experience, product support, and fintech services industry experience. You will need to be able to combine business acumen and creativity to negotiate terms to help launch key business initiatives. You will play an immediate and direct role in complex commercial transactional work supporting our sales, technology, product, partnerships, and enterprise teams. Things You Get To Do: Commercial & Transactional Leadership: • Draft, review, and negotiate complex financial and commercial agreements, including, • Clearing agreements, • Crypto and digital asset services agreements, • Securities lending and margin documentation, • B2B API, SaaS, and embedded brokerage partnerships, • Derivatives and futures documentation, • Vendor and event contracts, • Structure novel partnership arrangements that support Alpaca's API-first brokerage model., • Develop scalable contracting frameworks, templates, and playbooks to support global expansion.Cross-Functional Leadership, • Work closely with Sales, Compliance, Operations, Finance, InfoSec, and other stakeholders to ensure commercial arrangements align with regulatory and operational requirements.Strategic Impact, • Challenge assumptions and help design creative legal structures that scale financial services infrastructure., • Bring practical, business-oriented solutions to complex cross-border regulatory issues., • Licensed attorney with 5-8+ years of experience working at:, • A financial services institution (e.g., bank, broker-dealer, asset manager, FCM, payments firm, crypto exchange), or, • A law firm supporting such clients., • Strong history of commercial and transactional legal work in financial services., • Experience reviewing and negotiating complex financial agreements (clearing, prime brokerage, crypto, derivatives, or similar)., • Familiarity with U.S. regulatory regimes applicable to securities, crypto, and/or derivatives (SEC/FINRA, CFTC/NFA), • Excellent judgment, analytical rigor, and clear communication skills., • Demonstrated ability to own projects from concept to execution., • Practical, solution-oriented mindset with strong business judgment., • Comfort working with cross-functional, globally distributed teams., • Intellectual curiosity and interest in fintech, digital assets and blockchain technology. How We Take Care of You: • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job DescriptionBenefits: • 401(k), • Bonus based on performance, • Dental insurance, • Health insurance Larch Capital Partners is an SEC-registered investment advisory firm focused on providing multi-family office services to ultra-high-net-worth individuals, primarily from Latin America. We are a collaborative organization with a collegial, creative, and dynamic work environment. We value high performance, teamwork, accountability, initiative, transparency, flexibility, independence, and the highest ethical standards. We Are Looking For: Sr. Operations Analyst Mission Reporting directly to the COO, the Sr. Operations Analyst is in charge of conducting and constantly improving operational and administrative functions. This role embraces the following duties and responsibilities: Operating and maintaining core business systems such as Addepar (a data aggregation and reporting system) and Practifi Sales force. Organizing data for analytical report production. Contributing to the development and implementation of the firms policies and procedures, including compliance-related operational tasks. Performing operational tasks such as bill payments, document processing, preparing information for accountants and other service providers, and organizing company records. Work closely with the CCO to Ensure compliance with regulatory requirements and industry standards, including SEC regulations, FINRA rules, and internal policies. Work closely with the CCO to Conduct regular reviews and audits to assess compliance and mitigate risks. Work closely with the CCO to stay informed about regulatory changes and update policies and procedures as needed HR routines such as payroll, benefit plans and performance evaluation program; responsible for recruiting and onboarding new employees as needed. Monitor financial performance and identify areas for cost savings and revenue growth Establish and maintain financial controls to safeguard assets and ensure accurate reporting. Collaborate with the COO to develop and execute financial plans and budgets. Preparing documents and presentations. Availability to work in-office from 9 AM to 6 PM. Required Knowledge, Skills and Abilities • College degree., • Minimum of 5 years of professional experience in a similar role., • Fluency in English and Portuguese; Spanish is a plus., • Excellent interpersonal, communication, and presentation skills., • Strong organizational skills, meticulous attention to detail, and ability to set priorities., • Proficiency in data management and data systems., • Ability to map processes and create procedures., • Highly analytical mindset and process improvement orientation., • Problem-solving mindset. Preferred Qualifications Professional experience in a similar role (private banking or broker-dealer industry) is a plus. Full understanding of financial markets. Solid Microsoft Office capabilities, particularly Excel. Experience with Practifi (Salesforce) and Addepar is a plus.

We are seeking a Chief Compliance Officer with Broker/Dealer experience to join our client's team! A Chief Compliance Officer (CCO) for a broker-dealer is responsible for overseeing the firm's entire compliance program to ensure adherence to all federal and state regulations and internal policies. Key duties include managing regulatory filings, developing and implementing policies, monitoring trading and other activities, and conducting risk assessments. The role requires extensive knowledge of securities laws and regulations from bodies like the SEC and FINRA, strong communication skills for training and reporting, and the ability to manage relationships with regulatory agencies. Core responsibilities Regulatory liaison and filings: • Provide guidance and advice to senior management on compliance matters, assist in mitigating risks, and respond to policy violations. This also includes managing personal trading compliance and outside business activities. Key qualifications • Deep knowledge of securities regulations (e.g., SEC, FINRA)., • Experience in broker-dealer compliance., • Strong analytical, oral, and written communication skills., • Ability to provide strategic guidance on complex regulatory issues., • FINRA Series 24 license is required.

Job Description About Bci Securities Bci Securities is a boutique U.S. broker-dealer affiliated with a leading international banking group. The firm provides execution, capital markets access, and advisory services to institutional and high-net-worth clients, leveraging global distribution and research capabilities. Bci is an Equal Opportunity Employer - All qualified applicants will receive consideration without regard to race, color, religion, gender, national origin, age, disability, veteran status, or any other factor determined to be unlawful under applicable law. JOB SUMMARY The Operations Specialist is responsible for providing overall coverage of all operations related matters of the broker dealer. Such matters may require supporting and responding to clients, advisors, and registered representatives, as well as the various departments within the Bci Securities Team and affiliates. The Operations Specialist will be required to provide proper solutions and execution of operational obligations and tasks. DUTIES OF THE POSITION The duties of the position include, but are not limited to, the following: * Responsible for working with the registered representatives/financial advisors related to operations for new Brokerage and Registered Investment Advisory (RIA) client/accounts. * Review Account Documentation for account opening and account maintenance for accuracy and relevance. * Responsible for the operational maintenance of new and existing customer account files and Pershing profiles. * Ongoing review of the account documents necessary (including but not limited to the W8, TOD, POA, Margin agreements, Options agreements, Corporate documentation). * Preparation and process of Pershing and Bank Lending Non-Purpose Loan and Collateral Based Loan related accounts. * Preparation and process of operational Brokerage and Advisory account activity including wire transfers, journal/ACH transfers. * Provide daily support to the registered representatives and staff within Bci Securities and related affiliates, with internal processes. * Required to work with Pershing (Clearing Broker Dealer) and any necessary Bci Securities staff in order to clear/solve any inquiry or situation related account opening and operations functions. * Ability to understand, speak (fluently), read and write English. * Ability to understand and read Spanish. * Ability to write routine reports and correspondence. * Ability to multitask and work under pressure. * Ability to effectively speak before groups of customers or employees. * Assume evolving duties and responsibilities of position. * Work all hours required to fulfill job duties and responsibilities (including weekends, evenings and holidays as needed). * Travel as required. * Provide coverage for other positions as requested. * Ability to carry and lift boxes and/or object that may weigh between 10 and 25 pounds. * Perform additional duties and responsibilities as assigned by management. COMPLIANCE RESPONSIBILITIES In the performance of their duties, all Bci - Securities staff members are required to comply with all state, SROs and federal regulatory and legal requirements. All staff members must comply with the Bci Securities and Bci’s Personnel Manual and Code of Ethics and other policies of Bci which are either currently in place or which may become effective during the staff member’s employment. PRE-HIRE REQUIREMENTS FOR THIS POSITION: Knowledge * Knowledgeable in the full client account onboarding process related to a Broker-Dealer/RIA * Knowledgeable in the AML/CIP requirements of account onboarding. * Have the Back Office/Operational background to understand the critical processes required in order to effectively handle ongoing matters related to customer documentation. * Understand and be fluent in Pershing’s NetX360 or similar custody * platforms. COMPUTER: Including but not limited fluency with Microsoft Word, Microsoft Excel, Microsoft PowerPoint, NetX360 Investor and Google Suite. Abilities * Be a highly motivated self-starter with excellent client service and communication skills. * Be able to work effectively within an open workspace environment (when applicable) and remotely (when required). * Be able to work in a demanding and stressful environment. * Be able to work effectively with other direct areas of the corporation and affiliates. * Be able to have the necessary flexibility to function on a daily basis. EDUCATION:High School Degree required. College Degree preferred. EXPERIENCE: Requires a minimum of at least 3-5 years of previous financial/banking experience with a preference in the operations/administrative area of a Broker-Dealer.

Our client, a growing independent broker dealer, is seeking a Relationship Manager to join their team. This individual will serve as a key point of contact for clients by providing high-touch service, supporting investment-related requests, and assisting with day-to-day account administration. The ideal candidate will have experience working within a wealth management or broker dealer environment and possess strong client relationship management skills. This role is ideal for someone who enjoys balancing client interaction, investment support, and operational responsibilities in a collaborative and fast-paced environment. Responsibilities • Serve as a primary point of contact for high-net-worth and mass affluent clients, • Build and maintain strong client relationships through proactive communication and ongoing service, • Assist clients with account opening, onboarding, maintenance, transfers, and documentation processing, • Execute trade orders and support advisors with investment-related client requests, • Respond to client inquiries regarding accounts, balances, transactions, and investment activity, • Coordinate and prepare paperwork for new accounts, money movements, beneficiary updates, and account changes, • Support financial advisors with meeting preparation, follow-up items, and client servicing needs, • Ensure all client interactions and account activity are handled in compliance with FINRA and firm policies, • Maintain accurate client records and notes within CRM and custodial systems, • Assist with general Client Service Associate (CSA) responsibilities and operational support, • Work closely with internal operations, compliance, and custodial partners to resolve client issues efficiently, • Deliver a high level of professionalism, responsiveness, and white-glove client service Qualifications • Active FINRA Series 7 license required, • Bilingual in English and Spanish required, • 3+ years of experience within a broker dealer, wealth management, private banking, or financial advisory environment, • Experience executing trades and supporting investment-related client conversations, • Strong knowledge of account opening, account maintenance, and brokerage operations, • Previous experience in a Relationship Manager, Registered Client Associate, Client Service Associate, or similar role preferred

About the Company FTAI owns and maintains commercial jet engines with a focus on the Maintenance, Repair and Exchange (MRE) of CFM56 and V2500 engines. FTAI’s propriety portfolio of products, including The Module Factory and a joint venture to distribute engine PMA helps make CFM56 and V2500 engine maintenance simpler, more cost-effective, significantly faster, and more environmentally friendly. Additionally, FTAI owns and leases jet aircraft which often facilitates the acquisition of engines at attractive prices. FTAI invests in aviation assets and aerospace products that generate strong and stable cash flows with the potential for earnings growth and asset appreciation. FTAI operates globally and has offices in New York, Miami, Montreal, Singapore, Dubai, United Kingdom and Ireland. About the Role This role may be based in multiple global locations across our FTAI offices in New York, Miami, Montreal, Dubai, the United Kingdom, or Ireland. As Commodity Manager, you will own the sourcing strategy for some of the most constrained and highest-value components in the CFM56 ecosystem — Life Limited Parts, cases, and frames. This is a senior, highly visible role that requires deep market knowledge, strong dealer and supplier relationships, and the ability to move quickly in a market where availability and timing are everything. Responsibilities: • Own LLP, case, and frame sourcing: Develop and execute sourcing strategies for your commodity portfolio knowing where parts are, what they cost, and how to get them before the competition does. Navigate the teardown market, dealer network, and broker community with confidence. When supply is tight, you are the person who finds a way., • Drive supply chain and demand integration: Work closely with Operations and Supply Chain using advanced planning tools including Palantir to anticipate demand, track availability, and keep production on schedule. Stay ahead of constraints before they become disruptions., • Build and manage supplier and dealer relationships: Maintain deep, active relationships across the serviceable parts market OEMs, teardown operators, dealers, brokers, and MRO partners. Negotiate pricing and supply agreements, manage performance, and ensure FTAI has preferred access to the parts we need when we need them., • Work across the business: Partner with Engineering, Asset Management, and Technical teams on part eligibility, disposition, and new program requirements. Identify supply risks early and lead recovery when needed. Contribute to global sourcing initiatives across commodities and regions., • Align the global network: Serve as a key point of coordination across FTAI’s global facilities and sourcing teams, ensuring commodity strategies are consistent and priorities are synchronized across regions. Maintain active communication with lessors and airlines to understand fleet plans, upcoming transitions, and removal schedules — translating those insights into sourcing advantage for FTAI., • Own technical and documentation standards: Manage and maintain the technical standards, part eligibility criteria, and documentation requirements governing your commodity portfolio. Ensure part records, traceability documentation, and airworthiness certifications meet FTAI’s quality standards and regulatory requirements. Partner with Engineering and Quality to stay current as standards evolve. Qualifications: • 5–8+ years in aviation parts sourcing, MRO supply chain, or engine component procurement — with direct experience in LLPs, cases, and/or frames, • Deep knowledge of the CFM56 serviceable parts market — the dealers, the teardown operators, the brokers, and how pricing moves, • Proven ability to source constrained, high-value components under time pressure, • Strong negotiation skills and commercial instincts, • A networker and relationship builder who is known and trusted in this market, • Comfortable operating in a fast-moving environment where the stakes are real, • Bachelor's degree in Supply Chain, Commerce, or a related field; occasional travel required Equal Opportunity Statement: FTAI is committed to diversity and inclusivity in the workplace.

This Jobot Job is hosted by: Dawit Demoz Are you a fit? Easy Apply now by clicking the "Apply" button and sending us your resume. Salary: $120,000 - $135,000 per year A bit about us: We are a global financial services organization delivering market access, risk management, trading, and advisory solutions across a diverse range of asset classes and industries. Our team partners with institutional, commercial, and individual clients to provide insights, technology, and execution capabilities that help navigate complex markets and drive informed decision-making. With a strong focus on innovation, collaboration, and client service, we operate in a fast-paced environment where expertise, accountability, and problem-solving are highly valued. We are committed to fostering a culture of continuous growth, professional development, and operational excellence while empowering employees to make a meaningful impact. Why join us? Join a dynamic environment where you’ll contribute to a wide range of business-critical initiatives that help drive organizational success. From supporting strategic initiatives and operational improvements to enhancing internal processes and cross-functional collaboration, you’ll have the opportunity to make a meaningful impact, streamline workflows, and help implement solutions that improve overall business performance. Job Details Position Purpose: Senior Compliance Officer, Investment Advisor Services, reports directly to the Chief Compliance Officer (CCO). The successful candidate will support retail business lines across registered investment advisor (RIA) entities and affiliated financial services businesses. This individual will possess strong communication and writing skills, advanced proficiency in Microsoft Excel for data management and reporting, and the ability to manage multiple tasks in a dynamic environment. Primary Accountabilities / Responsibilities: Provide guidance and support to employees of RIA companies related to the Code of Ethics (COE), Written Supervisory Procedures (WSP), and related regulatory matters. Assist the CCO in coordinating the annual 206(4)-7 review, including drafting new or revised policies and procedures as needed. Perform recurring reporting routines supporting advisory compliance efforts, including the review of system reports, rules, and outputs to ensure compliance and supervisory requirements are addressed. Review supervisory activities related to advisory programs to ensure compliance with established guidelines. Assist in drafting, reviewing, and preparing the firm’s Disclosure Brochure(s) (Form ADV Part 2A). Facilitate regulatory filings on behalf of RIA companies and affiliated entities, including Form ADV Parts 1 and 2, 13F, N-PX, 13H, and other applicable filings. Assist in the review and approval of marketing materials and internal communications as necessary. Research and respond to regulatory requests as needed. Participate in additional compliance initiatives as assigned. Perform other duties relating to business operations and compliance needs as assigned. Support an affiliated registered broker-dealer as needed. Qualifications Job Requirements: Bachelor’s degree or equivalent financial industry or related compliance experience required. FINRA Series 7, 65 or 66, and 24 required. Series 14 and/or IACCP preferred. 5+ years of compliance or related financial services industry experience preferred. Strong knowledge of the investment advisory / RIA business, including custody and trading operations, systems and interfaces, account setup, billing, and performance reporting. Knowledge of the Investment Advisers Act of 1940 and rules promulgated pursuant to the Act. Ability to apply industry-specific knowledge related to existing, proposed, and new regulations and assist in the development of appropriate policies and procedures. Knowledge of the Independent RIA and broker-dealer model. Strong analytical and problem-solving skills. Strong written and verbal communication skills. Advanced technical proficiency in MS Excel, with experience in MS Access and/or Power BI preferred. Previous experience with custodial/clearing and TAMP systems, including Envestnet and Advyzon, preferred. Strong time management skills and the ability to multitask in a dynamic, time-sensitive environment. Ability to build positive and productive relationships with business line partners. Ability to lead/direct others and delegate in a professional and ethical manner. Interested in hearing more? Easy Apply now by clicking the "Apply" button. Jobot is an Equal Opportunity Employer. We provide an inclusive work environment that celebrates diversity and all qualified candidates receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, religion, national origin, age (40 and over), disability, military status, genetic information or any other basis protected by applicable federal, state, or local laws. Jobot also prohibits harassment of applicants or employees based on any of these protected categories. It is Jobot’s policy to comply with all applicable federal, state and local laws respecting consideration of unemployment status in making hiring decisions. Sometimes Jobot is required to perform background checks with your authorization. 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Together with its subsidiaries, New York Life provides a range of competitive insurance and financial products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (m

Bci is an Equal Opportunity Employer - All qualified applicants will receive consideration without regard to race, color, religion, gender, national origin, age, disability, veteran status, or any other factor determined to be unlawful under applicable law. This role is designed to provide a compreh

Have the Back Office/Operational background to understand the critical processes required in order to effectively handle ongoing matters related to customer documentation. Required to work with Pershing (Clearing Broker Dealer) and any necessary Bci Securities staff in order to clear/solve any inqui

Job DescriptionJOB SUMMARY The Client Service Associate (CSA) provides high-level administrative, operational, and client support to Financial Advisors and Registered Representatives within a Broker-Dealer/RIA. The Client Service Associate (CSA) is critical to delivering exceptional client experience while ensuring accuracy, efficiency, and strict compliance with regulatory and firm requirements. The Client Service Associate acts as a primary point of contact for client service needs and supports daily brokerage, account opening and maintenance, and operational activities. Bci Securities is an Equal Opportunity Employer - All qualified applicants will receive consideration without regard to race, color, religion, gender, national origin, age, disability, veteran status, or any other factor determined to be unlawful under applicable law. DUTIES OF THE POSITION The duties of the position include, but are not limited to, the following: * Serve as a primary contact for clients regarding account inquiries, documentation, and service requests. * Assist clients with account openings, maintenance, and updates (brokerage, advisory, retirement, and trust accounts). * Coordinate client communications, follow-ups, and appointment scheduling. * Provide professional, timely, and accurate responses to client requests. * Prepare and process new account paperwork, transfers, and account changes. * Process trades, money movements, distributions, and service requests in accordance with firm policies. * Monitor account activity and follow up on outstanding items or discrepancies. * Maintain accurate client records and documentation. * Provide administrative and operational support to Financial Advisors and OSJ staff. * Assist with meeting preparation, reports, and client presentations. * Coordinate with internal departments (operations, compliance, trading, and custodians). * Help streamline workflows and improve service efficiency * Back up to the Bankers/Financial Advisors, ability to process their trades and prepare their investment proposals. * Know how to explain investment proposals and assist in the rebalancing of portfolio controlling the suitability aspects of each client. * Knowledge of ACATS in the transfer of assets between Broker Dealers * Gather and process new account opening and KYC documentation as well as maintain existing client information (Account Opening must be from beginning to end) * Maintain Pipeline report updated and ready to deliver detailed information in weekly or ad hoc team meetings (Ex.: logging emails, tasks, cases, events, etc.) * Work with KYC/AML Team to assist with the creation and maintenance of the Client Risk Framework using information provided by Financial Advisors from client meetings. * Prepare client correspondence for Financial Advisors’ following firm guidelines. * Assist customers with registration and inquires on the use of NetX Investor. * Daily review of Items for Attention (Margin calls, Tender Offers, etc) * Prepare reports for internal or external clients as needed (Balance report, Bond maturity schedule, Trade Blotter, etc. GENERAL REQUIREMENTS * Ensure compliance with all legal and regulatory requirements. * Excellent communication skills, critical, customer service and problem-solving skills. * Strong interpersonal and team-building skills. * Detailed oriented and able to manage multiple tasks effectively. * Ability to work independently and in a fast-paced environment. * Ability to understand, speak, read and write English and Spanish. * Ability to prepare presentations, team reports and manage Excel. * Effectively speaking before groups of customers or employees. * Assume evolving duties and responsibilities of position. * Work all hours required to fulfill job duties and responsibilities (including, weekends, evenings and holidays as needed). * Travel as required. * Provide coverage for other positions as requested. * Ability to carry and lift boxes and objects that may weigh between 10 and 25 pounds. * Perform additional duties and responsibilities as assigned by Management. COMPLIANCE RESPONSIBILITIES * Ensure all client activity complies with FINRA, SEC, and firm regulatory standards. * Review documentation for completeness and accuracy prior to submission. * Maintain confidentiality and data security at all times. * Support audits, compliance reviews, and internal reporting as required.

Director of Operations - Single Family Office. Director of Operations at a large RIA, broker dealer, wealth management firm, or asset manager. Director of Store Operations- FUTURE OPPORTUNITIES.

Job Description About Bci Securities Bci Securities is a boutique U.S. broker-dealer affiliated with a leading international banking group. The firm provides execution, capital markets access, and advisory services to institutional and high-net-worth clients, leveraging global distribution and research capabilities. Bci is an Equal Opportunity Employer - All qualified applicants will receive consideration without regard to race, color, religion, gender, national origin, age, disability, veteran status, or any other factor determined to be unlawful under applicable law. JOB SUMMARY The Broker-Dealer Intern will gain hands-on exposure to the core functions of a regulated securities business, including sales & trading, capital markets, and operations/compliance. This role is designed to provide a comprehensive understanding of how a broker-dealer operates within both U.S. regulatory frameworks and a global banking structure. DUTIES OF THE POSITION The duties of the position include, but are not limited to, the following: Sales & Trading Support * Assist traders with market monitoring, order tracking, and trade blotter maintenance * Prepare daily market summaries and client-facing commentary * Conduct basic security-level research (equities, fixed income, or structured products) * Support client onboarding materials and pitchbooks Capital Markets & Research * Contribute to preparation of deal materials (ECM/DCM presentations, term sheets) * Perform industry and company analysis using financial models and market data tools * Assist with syndicate updates and transaction execution tracking Operations & Middle Office * Reconcile trades and investigate settlement discrepancies (T+1 environment) * Support clearing, custody coordination, and cash/position breaks * Assist in maintaining books and records in accordance with SEC requirements Compliance & Risk * Observe and support adherence to SEC and FINRA regulations * Assist with surveillance reviews, trade reporting, and exception tracking * Help prepare documentation for audits and regulatory inquiries * Participate in AML/KYC processes for new accounts Learning Objectives: * Understand broker-dealer economics (commissions, spreads, inventory risk) * Gain familiarity with financial products: equities, fixed income, derivatives * Learn regulatory frameworks governing U.S. broker-dealers (SEC, FINRA rules) * Develop insight into how global banks integrate U.S. broker-dealer platforms * Build proficiency in Bloomberg, Excel, and internal trading/reporting systems * Ability to understand, speak, read and write English and Spanish * Effectively speaking before groups of customers or employees * Assume evolving duties and responsibilities of position * Work all hours required to fulfill job duties and responsibilities (including, weekends, evenings and holidays as needed) * Travel as required * Provide coverage for other positions as requested * Ability to carry and lift boxes and objects that may weigh between 10 and 25 pounds. * Perform additional duties and responsibilities as assigned by management COMPLIANCE RESPONSIBILITIES In the performance of their duties, all Bci - Securities staff members are required to comply all state, SROs and federal regulatory and legal requirements. All staff members must comply with in the Bci Securities and Bci’s Personnel Manual and Code of Ethics and other policies of Bci which are either currently in place or which may become effective during the staff member’s employment. PRE-HIRE REQUIREMENTS FOR THIS POSITION:COMPUTER: Ability to operate IBM compatible personal computers; fluency with Microsoft Word, Microsoft Excel, Microsoft PowerPoint. EDUCATION: • Pursuing a Bachelor’s degree in Finance, Economics, Business, or related field EXPERIENCE: * Strong analytical and quantitative skills * High attention to detail and ability to work in a regulated environment * Interest in capital markets and global financial institutions * Proficiency in Excel; familiarity with Bloomberg or similar tools is a plus

Blackstone is the world's largest alternative asset manager.We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work.We do this by using extraordinary people and flexible capital to help companies solve problem

We are seeking a Chief Compliance Officer with Broker/Dealer experience to join our client's team! A Chief Compliance Officer (CCO) for a broker-dealer is responsible for overseeing the firm's entire compliance program to ensure adherence to all federal and state regulations and internal policies. E

DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day.As a Dasher, you’ll stay busy with a variety of earnings opportunities and can work when it works for you.Being a Dasher with DoorDash gives yo

DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day.As a Dasher, you’ll stay busy with a variety of earnings opportunities and can work when it works for you.Being a Dasher with DoorDash gives yo

DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day.As a Dasher, you’ll stay busy with a variety of earnings opportunities and can work when it works for you.Being a Dasher with DoorDash gives yo

DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day.As a Dasher, you’ll stay busy with a variety of earnings opportunities and can work when it works for you.Being a Dasher with DoorDash gives yo

DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day.As a Dasher, you’ll stay busy with a variety of earnings opportunities and can work when it works for you.Being a Dasher with DoorDash gives yo

DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day.As a Dasher, you’ll stay busy with a variety of earnings opportunities and can work when it works for you.Being a Dasher with DoorDash gives yo

DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day.As a Dasher, you’ll stay busy with a variety of earnings opportunities and can work when it works for you.Being a Dasher with DoorDash gives yo

DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day.As a Dasher, you’ll stay busy with a variety of earnings opportunities and can work when it works for you.Being a Dasher with DoorDash gives yo

DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day.As a Dasher, you’ll stay busy with a variety of earnings opportunities and can work when it works for you.Being a Dasher with DoorDash gives yo

DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day.As a Dasher, you’ll stay busy with a variety of earnings opportunities and can work when it works for you.Being a Dasher with DoorDash gives yo

DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day.As a Dasher, you’ll stay busy with a variety of earnings opportunities and can work when it works for you.Being a Dasher with DoorDash gives yo

DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day.As a Dasher, you’ll stay busy with a variety of earnings opportunities and can work when it works for you.Being a Dasher with DoorDash gives yo

DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day.As a Dasher, you’ll stay busy with a variety of earnings opportunities and can work when it works for you.Being a Dasher with DoorDash gives yo

DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day.As a Dasher, you’ll stay busy with a variety of earnings opportunities and can work when it works for you.Being a Dasher with DoorDash gives yo

DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day.As a Dasher, you’ll stay busy with a variety of earnings opportunities and can work when it works for you.Being a Dasher with DoorDash gives yo