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Job Description About Daiwa Capital Markets America Inc.: Incorporated in 1964, Daiwa Capital Markets America Inc. (“DCMA”) is a New York-based registered securities broker-dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exchange and other major U.S. exchanges. Our main focus is on the sales and trading of Japanese, Asian, and U.S. equities, fixed income instruments, financial futures, and investment banking for institutional customers. DCMA’s ultimate parent company is Daiwa Securities Group Inc., one of the largest brokerage and financial services groups in Japan. Position Summary: The Asset Services Specialist will work within the Corporate Actions and Operations Tax Reporting team to ensure the complete and accurate processing of events for the firm's affiliates that clear and custody their US trading activities with DCMA. The role also includes liaising with internal and external departments/partners with respect to business process improvement that enhance and improve the client experience at DCMA. Reporting to the AVP, Corporate Actions Specialist, you will be an integral part of the Asset Services team and overall Operations department. Core Responsibilities: • Update the corporate actions applications and to reflect voluntary and mandatory distributions and other events that are announced., • Ensure accuracy and timely communication to clients, while following the established protocols and processes of the firm., • Monitor and analyze upcoming corporate actions, processing events in accordance with established procedures and systems, determining entitlement, and processing related financial transactions., • Bachelor’s degree from an accredited four-year institution., • 5+ years’ related experience within Operations, Asset Services, Corporate Actions required., • Experience with voluntary corporate actions required., • Technical skills, specifically data management, analysis, and automation., • Series 99 preferred. Daiwa Capital Markets America Inc. has a vibrant company culture made up of a diverse team of professionals. We seek to foster an atmosphere in which our employees understand, respect, and inspire each other. We will continue to build a culture that encourages everyone at DCMA to take pride in their work. How we work — individually, with each other, and with our communities — is just as important as what we do and shapes who we are as an organization. Our people are our most important asset, and as a result, we offer a competitive and robust total rewards package which includes, but is not limited to: • Competitive Benefits Package (Medical, Dental and Vision), • Ancillary Insurance (Basic Life Insurance, AD&D Insurance, and Short & Long-term Disability), • Flexible Spending and Health Savings Accounts (FSA and HSA), • Employee Assistance Program (EAP), • Comprehensive health and wellness benefits, • Parental Leave, • Family building benefits, • 401(k) with company match, • Paid Time Off and holidays, • Professional development, educational assistance and training programs DCMA provides equal employment opportunities for all applicants and employees. We are committed to providing a work environment that is free of discrimination and harassment. DCMA prohibits discrimination based on race, color, religion, gender identity, national origin, sexual orientation, age, disability, military or veteran status, or other attributes protected under applicable federal, state, or local laws.

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: The Director of Compliance reports to the Chief Compliance Officer and supports all aspects of the Firm's compliance program. This role works closely across business lines and functions to ensure alignment and effective execution of compliance initiatives. The ideal candidate is proactive, highly organized, and able to manage multiple solutions and maintain strong stakeholder relationships. Things You Get To Do: • Apply practical knowledge of FINRA rules and regulations to ensure compliance oversight across the firm., • Partner with business units to understand workflows, monitor controls, and implement compliance process improvements., • Draft, update, and maintain compliance policies and supervisory procedures., • Review advertising, marketing, and electronic communications for regulatory compliance., • Support regulatory examinations, inquiries, and requests, including gathering data, preparing documentation, and coordinating responses., • Assist in the preparation and submission of required regulatory filings and reports., • Assist with branch inspections and supervisory reviews, track findings, and follow up with business leads., • Assist in the preparation and submission of required regulatory filings and reports., • Experience with new product launches and ongoing product governance. Who You Are (Must-Haves): • At least 10 years of experience managing compliance matters within FINRA, SEC, and OCC jurisdictions, preferably in a broker-dealer and clearing firm environment., • Deep knowledge of U.S. securities regulations, including FINRA/SEC rules, and registration/licensing obligations., • Strong written communication skills for drafting regulatory documentation and policies., • Proven ability to work independently and produce actionable compliance work, not just advisory guidance., • Ability to operate effectively in a fast-paced, global environment with evolving regulatory requirements., • Proficiency in using compliance software and tools., • High ethical standards and a commitment to maintaining confidentiality., • Bachelor's degree in Finance, Business, Law, or a related field., • Required FINRA licenses: Series 7, 24; additional licenses and designations are a plus.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 About Futu US Inc. Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth management platform that's designed to elevate the investment experience. Here's a closer look at our key entities: • Futu Clearing Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally., • Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring your investment journey is backed by expertise. The Position The Strategic Influencer Business Development Manager will drive the way we develop and execute influencer marketing (paid and earned strategies) and campaigns for Moomoo US. You will connect with influencers and work with your team to enhance our influencer programs coverage and manage in-depth relationships with influencers to contribute on the grow of paying clients for the company, including work on events/campaigns and other initiatives to build partnerships and engage our influencer community. You will play a crucial role in identifying partnership opportunities, negotiating agreements, and managing ongoing partner relationships to ensure mutual success across both business sectors — with a particular focus on accelerating individual options trader growth. The ideal candidate is a strategic thinker with a proven track record in partnership management, relationship building, and experience in the fintech or brokerage industry, especially with initiatives that drive options trading adoption and engagement. What you do • Develop and implement a comprehensive business development strategy aligned with marketing, product, and business objectives — with a strong focus on individual options trader growth., • Identify, target, and establish relationships with potential partners, including influencers across YouTube, Twitter, Discord, and other relevant platforms., • Negotiate and finalize business development agreements to maximize value for both parties and drive user acquisition and revenue growth., • Collaborate with internal teams — including marketing, content, product development, and compliance — to ensure successful execution of partnership initiatives and campaigns that promote option trading adoption., • Manage and nurture existing partner relationships to ensure satisfaction and identify opportunities for growth, co-marketing, and deeper collaboration., • Analyze market trends, competitive landscape, and user behaviors to inform partnership and option growth strategies., • Develop and track key performance indicators (KPIs) to measure the success of partnerships, option user acquisition, and retention efforts, making data-driven adjustments as needed., • Prepare and present regular reports to senior management on business development performance, key insights, and growth opportunities., • Proven track record of successful options trading strategies, • Strong negotiation skills and the ability to influence decision-makers at all levels., • Excellent communication, presentation, and interpersonal skills., • Ability to analyze market trends and business metrics to drive strategic decisions., • Some experience in sales management or business development, preferably within the brokerage or financial services industry., • Strong leadership ability with a focus on team development and performance enhancement., • The job requires 4days onsite at the MOOMOO US Jersey City office. *Only shortlisted candidates will be contacted. Benefits What we offer: • Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents, • 401k Employer Contribution: We match your contributions to help you grow your retirement savings, • Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy, • Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work, • Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $100,000 - $120,000. This role is also eligible to participate in our discretionary bonus plan. Disclaimer The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Futu Holdings Limited, including all subsidiaries, is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law. Warning about fake job posts Please be aware of fraudulent job postings by persons not affiliated with Futu, Moomoo, or their affiliates. Criminals may use fraudulent job postings to obtain your personally identifiable information and/or financial information to steal your identity and/or money. All communications to you will come from a business email address. We do not hire through text message, social media, or email alone, and any interviews will be conducted in person or through a video call. We will not ask you for bank account information nor ask you to pay anything during the hiring process. If you see suspicious activity or believe that you have been the victim of a job posting scam, you should report it to your local FBI field office or to the FBI’s Internet Crime Complaint Center Disclaimer The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Futu Holdings Limited, including all subsidiaries, is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law.

Job Description QCP is Asia's leading digital asset partner, empowering clients to seamlessly integrate digital assets into their portfolios. We offer a comprehensive range of solutions - from spot on/off ramping and fixed income strategies to vanilla options and bespoke exotics. Driven by the vision to be the most trusted partner in digital asset markets, we provide innovative solutions that make digital assets a core component of every portfolio, balance sheet, and treasury. Since our founding in 2017, we have witnessed the potential of digital assets to transform financial markets and the world at large. We exist at the centre of change, successfully navigating three market cycles and bridging institutional and crypto ecosystems. We work to build trusted partnerships, putting client success and care at the heart of everything that we do. The Head of Compliance will be responsible for designing, implementing, and overseeing the full compliance program of QCP’s US’s entity which will act primarily as a distributor for QCP’s products. The Head of Compliance will serve as a General Securities Principal and will be a key member of the U.S. management team, with direct responsibility for regulatory compliance, supervisory systems, and regulatory engagement with FINRA / SEC / CFTC / NFA. Responsibilities Regulatory & Supervisory Oversight • Act as the designated Head of Compliance and FINRA Principal of the U.S. broker-dealer., • Develop, implement, and maintain: Written Supervisory Procedures (WSPs), Compliance Manual Code of Ethics, Conflicts of Interest policies, • Ensure compliance with:, • Securities Exchange Act of 1934; FINRA rules and guidance; Applicable state securities laws, • Review and approve: offering memoranda and risk disclosures; Marketing and investor communications, • Serve as the designated AML Compliance Officer., • Licensing (Required or Immediately Obtainable), • FINRA Series 7 – General Securities Representative, • FINRA Series 24 – General Securities Principal, • Licensing (Strongly Preferred), • Series 66 – Uniform Combined State Law Exam, • Minimum 8–12 years of compliance or regulatory experience at: Broker-dealers, Investment banks or Structured products firms, • Demonstrated experience in drafting and maintaining WSPs, managing FINRA examinations, supporting or leading New Member Applications or material business expansions The Environment We Offer As a growing firm with a tightly-knit team, we respect and listen to all our employees. You will get the chance to make an impact by having your voice heard by everyone, including the management. Our employees enjoy a high level of autonomy at work. We focus on substance, not form - as long as you can perform, you will be recognized and rewarded. We are also dedicated to supporting our staff and ensuring they develop holistically to maximize their potential in the long- term. We also provide flexible working arrangement as required and a casual and fun environment to boot!

Job Description About Futu US Inc. Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth management platform that's designed to elevate the investment experience. Here's a closer look at our key entities: • Futu Clearing Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally., • Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring your investment journey is backed by expertise. About the Team & Role: The Vice President, Trading Surveillance will be responsible for monitoring, investigating, and escalating potential market abuse and regulatory violations across multiple asset classes. This role supports the firm’s compliance with FINRA, SEC, and other applicable regulatory requirements and works closely with Compliance, Legal, and Operations. The ideal candidate will have deep experience with equities, options, and crypto surveillance, strong investigative skills, and hands-on expertise with NASDAQ SMARTS. Office Location: Jersey City, NJ This role must be based on the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter. Requirements What you do • Conduct daily trade surveillance reviews using NASDAQ SMARTS and related systems across:, • Equities, • Options, • Digital assets / crypto, • (Futures and event contracts experience is a plus), • Analyze and disposition surveillance alerts for potential market manipulation, including but not limited to:, • Spoofing and layering, • Wash trades, • Marking the close, • Front-running, • Cross-product and cross-market activity, • Perform in-depth investigations of trading activity, including pattern analysis, account relationships, and order lifecycle reviews., • Prepare, document, and escalate potential regulatory issues in accordance with firm policies and FINRA requirements., • Respond to regulatory inquiries, including:, • FINRA investigations, • Blue Sheet (EBS) requests, • Other regulatory data requests and exams, • Draft investigative summaries, exception reports, and regulatory responses with clear, defensible conclusions., • Coordinate with internal stakeholders (Compliance, Legal, Trading, Operations, Technology) to obtain data, explain findings, and remediate issues., • Assist in enhancing surveillance rules, thresholds, and procedures to address new products, market structures, and regulatory expectations., • Stay current on FINRA, SEC, and market-wide regulatory developments impacting trade surveillance and market abuse. What you offer Required Qualifications • 7+ years of hands-on trade surveillance experience at a FINRA member firm, clearing firm, exchange, or regulator., • Extensive experience surveilling equities and options; crypto surveillance experience required., • Strong working knowledge of NASDAQ SMARTS., • Direct experience handling FINRA investigations and Blue Sheet requests., • Solid understanding of U.S. securities market structure and order types., • Series 7 and Series 24 licenses required (active or able to transfer)., • Strong analytical, investigative, and problem-solving skills., • Excellent written and verbal communication skills, including regulatory correspondence., • Surveillance experience covering futures and/or event contracts., • Experience at a clearing firm or firms supporting introducing broker-dealers., • Prior involvement in regulatory exams or enforcement actions. Benefits What We Offer: • Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents, • 401k Employer Contribution: We match your contributions to help you grow your retirement savings, • Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy, • Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work, • Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $120,000 - $160,000. This role is also eligible to participate in our discretionary bonus plan. Disclaimer The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Futu Holdings Limited, including all subsidiaries, is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law. Warning about fake job posts: Please be aware of fraudulent job postings by persons not affiliated with Futu, Moomoo, or their affiliates. Criminals may use fraudulent job postings to obtain your personally identifiable information and/or financial information to steal your identity and/or money. All communications to you will come from a business email address. We do not hire through text message, social media, or email alone, and any interviews will be conducted in person or through a video call. We will not ask you for bank account information nor ask you to pay anything during the hiring process. If you see suspicious activity or believe that you have been the victim of a job posting scam, you should report it to your local FBI field office or to the FBI’s Internet Crime Complaint Center.

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full-service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Our Investment Banking Team is committed to providing in-depth industry knowledge and delivering creative, market-based strategies to clients in all major industries, with a specific focus on Consumer and Retail, Energy, Financial Institutions, Healthcare, Industrial Growth and Services, Rental Services, Technology, Media and Communications as well as Transportation and Logistics. Our range of services include Equity Capital Markets, Debt Capital Markets, Mergers and Acquisitions as well as Debt Advisory & Restructuring. This combination of industry and product groups enables the firm to deliver advice, strategies and capital with a universal banking approach to our targeted client – high growth, entrepreneurial, middle market companies. Job Description Our Financial Institutions team is actively looking for an experienced Associate for our New York office. The candidate will be working closely with senior members of the Financial Institutions Group with opportunities to gain exposure to both sell side and buy side advisory as well as underwriting and placing equity and debt offerings for public and privately held companies. Responsibilities: • Preparing client presentations, drafting offering memoranda, preparing internal committee memoranda, preparing management and board presentations and other materials for senior bankers as required, • Transaction execution involving direct client interaction and communication, • Managing client due diligence processes, • Conducting extensive financial modeling and valuation, • At least 2 years of experience in investment banking, primarily Financial Institutions related, • Strong Microsoft Excel skills essential, • Strong verbal and written communication skills, • Elevated attention to detail and consistency in work product, • Strong work ethic and team player, • Organized and proactive, • Dealogic, CapIQ, Bloomberg and MS Office suite knowledge strongly preferred For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $150,000.00 - $160,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

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: We are seeking a Senior Data Platform Engineer to design and develop the data management layer for our platform to ensure its scalability as we expand to larger customers and new jurisdictions. At Alpaca, data engineering encompasses financial transactions, customer data, API logs, system metrics, augmented data, and third-party systems that impact decision-making for both internal and external users. We process hundreds of millions of events daily, with this number growing as we onboard new customers. We prioritize open-source solutions in our data management approach, leveraging a Google Cloud Platform (GCP) foundation for our data infrastructure. This includes batch/stream ingestion, transformation, and consumption layers for BI, internal use, and external third-party sinks. Additionally, we oversee data experimentation, cataloging, and monitoring and alerting systems. Our team is 100% distributed and remote. Responsibilities: • Design and oversee key forward- and reverse-ETL patterns to deliver data to relevant stakeholders., • Develop scalable patterns in the transformation layer to ensure repeatable integrations with BI tools across various business verticals., • Expand and maintain the Alpaca Data Lakehouse architecture's constantly evolving elements., • Collaborate closely with sales, marketing, product, and operations teams to address key data flow needs., • 7+ years of experience in data engineering, including 2+ years of building scalable, low-latency data platforms capable of handling >100M events/day., • Proficiency in at least one programming language, with strong working knowledge of Python and SQL., • Experience with cloud-native technologies like Docker, Kubernetes, and Helm., • Strong hands-on experience with relational database systems and object storage implementations like Apache Iceberg., • Strong hands-on experience with Google Cloud Platform and its various data-related services (Composer, Dataproc, Datastream, etc.), • Experience in building scalable transformation layers, preferably through formalized SQL models (e.g., dbt)., • Ability to work in a fast-paced environment and adapt solutions to changing business needs., • Experience with ETL orchestrators / frameworks like Apache Airflow and Airbyte., • Production experience with streaming systems like Kafka., • Exposure to infrastructure, DevOps, and Infrastructure as Code (IaaC), like Terraform., • Deep knowledge of distributed systems, storage, transactions, and query processing utilizing open-source distributed query engines like Trino (formerly PrestoSQL)., • If you're passionate about data engineering and thrive in a dynamic startup environment, we'd love to hear from you! 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 Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer, With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Our Investment Banking Team is committed to providing in-depth industry knowledge and delivering creative, market-based strategies to clients in all major industries, with a specific focus on Consumer and Retail, Energy, Financial Institutions, Healthcare, Industrial Growth and Services, Rental Services, Technology, Media and Communications as well as Transportation and Logistics. Our range of services include Equity Capital Markets, Debt Capital Markets, Mergers and Acquisitions as well as Debt Advisory & Restructuring. This combination of industry and product groups enables the firm to deliver advice, strategies and capital with a universal banking approach to our targeted client – high growth, entrepreneurial, middle market companies. Job Description We are looking for a candidate to fill an Associate position in our Global Fund Placement & Advisory Group, with the positing being based in New York. The candidate will work closely with senior members of the FPA Group and gain exposure by supporting deal teams in both the advisory and distribution functions of raising capital from international institutional investors on behalf of leading Private Equity clients. The Associate role is critical in taking lead on the preparation of marketing materials and ensuring that ongoing client interaction reports are run efficiently. In addition to taking on a lead role in execution, the Associate will also gain experience in developing communication with institutional LP accounts in the US. The Associate will also assist in leading due diligence and quantitative evaluation of prospective fund managers and sponsor-led direct transactions. Responsibilities: • Leading day-to-day fundraising mandate execution involving direct client interaction, • Preparing client presentations, drafting offering memoranda, preparing internal committee memoranda and preparing other materials for senior FPA bankers as required, • Overseeing the updating and maintenance of investor background information and client-specific communication on a daily basis via the CRM, • Distribution coverage of a number of qualified US institutional investors, • Supporting the management and execution of investor due diligence processes (RFIs), • Supporting the management and coordination of client roadshows, • Supporting prospective client searches and due diligence for mandate origination, • At least 4 years of industry experience related to investment banking or private equity, ideally in a placement firm focused on buyout and growth equity strategies, • Strong verbal and written communication skills, • Strong Microsoft PowerPoint, Word and Excel skills, • Excellent attention to detail and consistency in work product, • Strong work ethic and team player, • Organized and proactive For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $150,000.00 - $170,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

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 DescriptionAre you a leader who has the following traits? • Competitive, • Entrepreneurial, • Coachable, • Communicative, • Self-disciplined, • AuthenticIf the answer is yes, consider becoming an insurance agent to drive positive impact in the lives of families every day. At NewYork Life, you’re in control of your career journey. Backed by a Fortune 100 company that is a leader in the financial servicesindustry, New York Life will invest in you from the start, training you in valuable skills such as marketing, customer relationshipmanagement (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 smallbusinesses. This is not just a sales job—it’s a career with purpose and opportunity. You’ll provide peace of mind to your clientswhile helping them navigate challenges that many of them find complex and confusing, such as preparing for retirement andsaving for college. As an insurance agent, you will have the opportunity to see the positive impact of your work for years tocome. 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, personalizedcoaching from dedicated training professionals, and the ability to obtain industry professional designations. We are socommitted to training that we’ll subsidize it in your first two full-time contract years, providing you with additional funds,if you qualify, to help keep you on your feet while you complete our training program and grow your business. You’ll also beeligible to get rewarded and acknowledged with sales incentives and professional-development trips for our top-performinginsurance 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 expertson hand to answer your questions and a suite of digital sales, prospecting, and marketing tools that will help you attract andretain 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 careinsurance, disability income insurance, and investment products such as mutual funds1through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop withyour clients can help them and their families achieve their financial goals. You’ll also be able to specialize and gain expertise indifferent areas, such as by becoming a financial advisor with Eagle Strategies LLC, our investment advisory division, to offerwealth 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.

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Job Description Oppenheimer Asset Management is hiring an Investment and Reporting Analyst. This candidate will manage reports for due diligence analysts, support the due diligence function, and take on manager research coverage. Over time, the analyst is expected to take on increased research responsibilities. The ideal candidate will have experience with financial markets and the asset management business. Prior experience with Bloomberg, Morningstar and Microsoft Office is preferred. Responsibilities: • Create and update reports for due diligence analysts and financial advisors to represent high conviction investment strategies, • Participate in manager review calls and meetings in tandem with senior analysts, • Put together research materials and write research notes for investment manager reviews and visits, • Support the due diligence function via performance and risk analysis, • Maintain databases and records of portfolio holdings and statistics, • Strong work ethic, high energy level and an eagerness to learn, • Understanding of financial markets and the asset management business, • Strong problem solver, • Self-starter with the ability to work independently, • Strong mathematical, analytical and quantitative skills, • Bachelor’s Degree, • 0-3 years of experience working in the financial markets (internship and/or full time experience), • Proficient in Microsoft Word, Excel (VLookups, HLookups, organizing large amounts of data), Powerpoint

Job DescriptionAVP, Data Analyst OTC Markets Group - New York, NY - Full Time OTC Markets Group Inc., operator of premier US financial marketplaces, is seeking an AVP, Data Analyst to join our IT Infrastructure team. We’re seeking a Data Analyst who loves diving deep into data, crafting meaningful dashboards, and optimizing SQL like a pro. In this role, you won’t just build reports — you’ll shape how the business thinks, plans, and grows. If you're passionate about solving complex problems and building analytical solutions that drive real business decisions, then we’re looking for you. We invest heavily in employee satisfaction and offer all our employees a highly competitive compensation package. As a dynamic, growing company that fosters an open culture, we emphasize autonomy, responsibility, innovation, and self-discipline. We are looking for someone who wants to make an impressive impact at a company known for its reputation on quality and achievement. Base compensation for this role is up to $100,000.00 annually, depending on experience. In addition, the position is eligible for our discretionary annual bonus and equity program. What You’ll Do: • Explore, analyze, and document structured and unstructured data across multiple systems, • Build effective BI dashboards, reports, and automated data feeds that empower decision-makers, • Develop and optimize advanced SQL queries, stored procedures, and functions using (Window functions, CTE, Joins & Pivots), • Improve performance through query tuning and database optimization, • Investigate and resolve data quality issues to ensure accuracy and reliability, • Partner closely with business stakeholders to translate requirements into actionable insights, • Deliver analytics that directly influence strategy and operational excellence, • Additional responsibilities, as assigned.What We’re Looking For:, • 4+ years of experience working with relational databases (one or more of the following: Informix, SQL Server, PostgreSQL, MySQL), • 4+ years of experience with BI tools (one or more of the following: Jasper, AWS Quick Sight, Tableau, Power BI), • Strong experience in SQL query development and tuning, • Hands-on experience with shell/python scripting and source code management tools such as GIT, • Experience working with AI tools, • Working knowledge of AWS services (RDS, Athena, S3), • Familiarity with columnar databases, • Excellent communication and interpersonal skills, • Bachelor’s degree in computer science and / or appropriate certificationsWhat OTC Markets Offers its Team Members (Why You Should Choose Us): Benefits: • Generous Paid Time Off (PTO), • Health, Dental, and Vision Coverage, • Health Savings Account (HSA), • Flexible Spending Accounts (FSA) Dependent & Healthcare, • Limited Purpose Flexible Spending Account (LPFSA), • Generous Paid Parental Leave Program, • Annual bonus and Stock Incentive Program, • 401(K) Plan - Retirement, • Commuter Transit & Parking Program, • Income Protection (Life Insurance, Short- & Long-Term Disability), • Voluntary Benefits (Accident, Critical Illness, & Hospital Indemnity)Perks:, • Hybrid Work Schedule, • Class Pass Partnership (Fitness & Wellness Programs), • Citi Bike Membership Program, • Mondays – Breakfast Bagels & Wednesdays – Pizza Lunch, • Office Snacks and Beverages, • Monthly birthday celebrations About OTC Markets Group Inc. OTC Markets Group Inc. (OTCQX: OTCM) operates regulated markets for trading 12,000 U.S. and international securities. Our data-driven disclosure standards form the foundation of our public markets: OTCQX® Best Market, OTCQB® Venture Market, OTCID™ Basic Market and Pink Limited™ Market. Our OTC Link® Alternative Trading Systems (ATSs) provide critical market infrastructure that broker-dealers rely on to facilitate trading. Our innovative model offers companies more efficient access to the U.S. financial markets. OTC Link ATS, OTC Link ECN, OTC Link NQB, and MOON ATS™ are each SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. To learn more about how we create better informed and more efficient markets, visit . We are an equal opportunity and E-Verify employer and prohibit discrimination and harassment of any kind. All employment decisions are based on business needs, job requirements, and individual qualifications, without regard to race, creed, color, religion, gender, national origin, age, marital status, political belief, physical or mental disability, sexual orientation, military or veteran status, genetic information, family or parental status, gender identity, pregnancy, including childbirth or related medical condition, or any other characteristic protected by federal, state, or local law. We encourage applicants of all ages and backgrounds. Applicants have rights under Federal Law: Equal Employment Opportunity is the Law Polygraph Protection Act FMLA Powered by JazzHR f1SQAK2T0D

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Our Investment Banking Team is committed to providing in-depth industry knowledge and delivering creative, market-based strategies to clients in all major industries, with a specific focus on Consumer and Retail, Energy, Financial Institutions, Healthcare, Industrial Growth and Services, Industrials, as well as Technology, Media and Communications. Our range of services includes Equity Capital Markets, Debt Capital Markets, Mergers and Acquisitions, Debt Advisory & Restructuring, Debt Private Placements and Fund Placement & Advisory. This combination of industry and product groups enables the firm to deliver advice, strategies and capital with a universal banking approach to our target clients – high growth, entrepreneurial, middle market companies. Job Description Our Technology team is actively looking for an experienced Analyst to join our team in New York. The candidate will be working closely with senior members of the Technology Group with opportunities to gain exposure to both sell side and buy side advisory as well as underwriting and placing equity and debt offerings for public and privately held companies. Technology Analysts work on a variety of strategic transactions for leading and emerging companies spanning many verticals including Software, Internet, and Hardware. You will work on several projects simultaneously with teams of professionals, both within the group and across the firm. Responsibilities: • Create and prepare client presentations, drafting offering memoranda, internal committee memoranda, management and board presentations and other materials as required, • Transaction execution involving direct client interaction and communication, • Managing client due diligence processes, • Conducting extensive financial modeling and perform valuation analyses, • At least 2 years of experience in investment banking, primarily Technology related, • Passion for the Technology industry, • Strong Microsoft Excel skills essential, • Strong verbal and written communication skills, • Elevated attention to detail and consistency in work product, • Strong work ethic and team player mentality with the ability to multi-task in a fast-paced, lean deal team work environment, • Organized and proactive; motivation to contribute to a positive, collaborative team culture, • Strong interpersonal skills, • Dealogic, CapIQ, Bloomberg and MS Office suite knowledge strongly preferred For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $115,000.00 - $130,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Job Description# Financial ServicesLocation- Downtown, NYC 4 days on-site one day WFHSeeking a Senior Tax Associate with 1.5 + years of Tax Withholding reporting experience specific to broker dealer trading and asset services event processing activities. Corporate action and dividend event processing experience is required.FIS, Wall Street Concepts, FIS and XSP experience is preferred. Must have experience with 1099 reporting and has a very good understanding of withholding events pertaining to corporate action and dividend income events. Candidates should be more dynamic with respect to technology skills (excel proficiency, understanding database reports, etc..) For more information please respond to

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Our Investment Banking Team is committed to providing in-depth industry knowledge and delivering creative, market-based strategies to clients in all major industries, with a specific focus on Consumer and Retail, Energy, Financial Institutions, Healthcare, Industrial Growth and Services, Industrials, as well as Technology, Media and Communications. Our range of services includes Equity Capital Markets, Debt Capital Markets, Mergers and Acquisitions, Debt Advisory & Restructuring, Debt Private Placements and Fund Placement & Advisory. This combination of industry and product groups enables the firm to deliver advice, strategies and capital with a universal banking approach to our target clients – high growth, entrepreneurial, middle market companies. Job Description Our Investment Banking department is actively looking for an Associate to join the Consumer & Retail Group in our New York office. Associates serve as critical members of the team, working directly with both Senior and Junior Bankers of all levels on pitches and engagements. The Associate will be given significant responsibility in transaction execution. Responsibilities: • Researching industry sector, • Assessing comparable companies, precedent transactions and potential investors/buyers, • Preparing and reviewing complex financial analyses and models, • Crafting detailed memos, presentations and pitches, • Conducting due diligence, • Coordinating group efforts for pitch and transaction related activity, • Presenting materials internally to senior bankers and externally to clients of the firm, • Experience in investment banking and M&A processes more specifically, • Experience with Consumer & Retail sector strongly preferred, • Strong Microsoft Excel skills essential, • Strong verbal and written communication skills, • Elevated attention to detail and consistency in work product, • Strong work ethic and team player, • Organized and proactive, • CapIQ, Factset, Bloomberg and MS Office suite knowledge strongly preferred For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $170,000.00 - $190,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Job Description Arena Investors, LP is a global investment management firm that seeks to generate attractive risk adjusted, consistent and uncorrelated returns. We employ a fundamentals based, asset-oriented financing and investing strategy across the entire credit spectrum in areas where conventional sources of capital are scarce. Through originations and acquisitions of asset-oriented investments across a wide array of commercial and consumer asset types (including but not limited to private direct corporate and commercial real estate bridge lending), the investment team specializes in off-the-run, stressed, distressed, illiquid and esoteric special situation transactions. Arena’s investment team develops and designs investment structures to meet the unique needs of each opportunity. Arena is looking to expand the investment teams through the addition of a Summer Analyst. In this role, this individual will support the senior members of the team. Ideal candidates will have a demonstrated interest in finance and investing; thrive in an intense, team-oriented environment; and be highly organized, self-motivated, and resourceful. Responsibilities: • Develop financial models and perform data / investment analysis., • Research new deal opportunities., • Perform relative value analysis., • Assist in the preparation of investment memoranda., • Participate in the transaction closing process., • Assume transaction post-closing responsibilities. The individual will have demonstrated an ability to work in a fast-paced, performance-driven environment with an ability to think broadly about the business, incorporating continual improvement of processes and procedures with a goal of excellence while focusing on accuracy and efficiency. • Attending a top university, ideally in a quantitative area (e.g., finance, economics, engineering or accounting)., • 0-2 years of investment banking, leveraged finance, structuring or trading experience at a bank, broker dealer or investment firm (internship experience included)., • Excellent Microsoft Excel (VBA a plus) and writing skills., • Experience with financial modeling and transaction structuring / closing is a plus., • The highest level of personal integrity and ethical standards., • A positive attitude, strong work ethic and a desire to work collaboratively across the organization., • Health Care Plan (Medical, Dental & Vision), • Retirement Plan (401k, IRA), • Life Insurance (Basic, Voluntary & AD&D), • Paid Time Off (Vacation, Sick & Public Holidays), • Family Leave (Maternity, Paternity), • Short Term & Long Term Disability, • Training & Development, • Free Food & Snacks, • Wellness Resources

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: Our brokerage product team at Alpaca is looking for a Lead Product Manager to define and drive new product initiatives and manage a portfolio of existing products. In this role you will ideate and deliver brokerage features while closely collaborating with engineering, analytics, design, partnerships and many other cross-functional teams across Alpaca. Things You Get To Do: • Own brokerage products, • Write product requirements and work with engineers to execute programs, • Drive brokerage product strategy by analyzing ROI, market competition, and build-vs-buy scenarios, • Improve the brokerage operation efficiency by providing solutions and owning the metrics, • Contribute to the product roadmap and product strategy, • Lead customer calls around brokerage process and product issues to gain insights and reduce them to products, • Participate in calls with external regulators to drive the product strategy and execution, • Report timely and accurately on product status and results to internal and external stakeholders, • Ad hoc duties and projects as assigned Who You Are (Must-Haves): • Excited about what Alpaca is building, • Bachelor's degree in computer science or equivalent, • 5+ years of experience in Product Management, Engineering, and/or starting a startup, • Demonstrated interest in Brokerage and FinTech, • Experience analyzing data using SQL and a relevant BI tool, • Strong communication skills, both written and verbal and collaboration skills, • Business acumen to understand tradeoffs between stakeholders and technology feasibility with time and budget constraints Who You Might Be (Nice-to-Haves): • Experience and background working on and developing Brokerage products is a plus, • Technical background working with APIs 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 DescriptionVP, Human Resources Business Partner OTC Markets Group Inc., operator of US financial marketplaces, is seeking a VP, Human Resources Business Partner to join our Human Resources team. Reporting directly to the SVP, Director of Human Resources & Administration, this is a high-impact, high-visibility role: you will partner with teams across the organization and engage with internal stakeholders, vendors, and consultants on the work that shapes how OTC Markets attracts, develops, rewards, and retains the people who make our markets work. This role is built for someone who runs at full speed in both lanes, managing strategic HR initiatives that move the company forward and as well as the recurring HR cycles, the analytics, and the day-to-day operations with equal care. If you are a hands-on practitioner who loves the variety, takes ownership without being asked, and wants visible impact , this is your kind of role. Please note OTC Markets is currently operating in a hybrid work environment (three days in office, two days remote). This position is located in our NYC office. We invest heavily in employee satisfaction and offer all our employees a highly competitive compensation package. As a dynamic, growing company that fosters an open culture, we emphasize autonomy, responsibility, innovation, and self-discipline. We are looking for someone who wants to make an impressive impact at a company known for its reputation on quality and achievement. Base compensation for this role is up to $150,000, depending on experience and qualifications. This role also qualifies for stock options upon hire, discretionary annual cash bonus and discretionary annual restricted stock awards. What you’ll do:Strategic HR Partnership and Talent • Continuously initiate and improve HR programs, policies, and processes to further the Company’s strategic and operational goals., • Partner with the Head of HR to define, measure, and report on annual SMART goals and KPIs that drive measurable business outcomes., • Oversee the administration of the Company’s health and welfare benefit programs, • Manage the Company’s 401(k) plan administration in partnership with the HRBP, Finance, and plan provider., • Partner with HRBP to process global payroll and manage compensation., • Manage compliance with applicable federal, state, and local filings and regulations, including EEO, ERISA, COBRA, FMLA, and DOL requirements; maintain working knowledge of federal and state employment laws, • Provide HR analytics and reporting insights to drive data-informed decisions., • Track metrics and generate reports to inform decision-making and identify trends across KPIs., • Support special projects with innovative thinking, creativity, and an analytical mindset., • Additional responsibilities, as assigned. What we’re looking for: • Bachelor’s degree, preferably in Human Resources, Business Administration, or a related field. Master’s degree and/or HR certification a plus., • Minimum of 7+ years of progressive HR generalist experience; experience with HR analytics preferred., • Minimum of 4+ years working with Paylocity HRIS, • Demonstrated experience setting, measuring, and reporting on annual SMART goals and KPIs to drive business outcomes., • Strong working knowledge of multiple HR functions; financial services experience preferred., • Advanced Microsoft Office Suite skills required, with a high level of proficiency in Excel., • Working knowledge of state and federal employment and labor laws., • Excellent communication skills, written and verbal., • Impeccable organization, time-management, and follow-through skills. Benefits • Generous Paid Time Off (PTO) |10 Holidays, • Health, Dental, and Vision Coverage, • Health Savings Account (HSA), • Flexible Spending Accounts (FSA) Dependent & Healthcare, • Limited Purpose Flexible Spending Account (LPFSA), • Generous Paid Parental Leave Program, • Discretionary Annual bonus and Stock Incentive Program, • 401(K) Plan - Retirement, • Commuter Transit & Parking Program, • Income Protection (Life Insurance, Short- & Long-Term Disability), • Voluntary Benefits (Accident, Critical Illness, & Hospital Indemnity)Perks, • Hybrid Work Schedule, • Class Pass Partnership (Fitness & Wellness Programs), • Citi Bike Membership Program, • Mondays – Breakfast Bagels & Wednesdays – Pizza Lunch, • Office Snacks and Beverages, • Summer & Winter Company Events, • Employee Discount Program OTC Markets Group Inc. (OTCQX: OTCM) operates regulated markets for trading 12,000 U.S. and international securities. Our data-driven disclosure standards form the foundation of our public markets: OTCQX® Best Market, OTCQB® Venture Market, OTCID™ Basic Market and Pink Limited™ Market. Our OTC Link® Alternative Trading Systems (ATSs) provide critical market infrastructure that broker-dealers rely on to facilitate trading. Our innovative model offers companies more efficient access to the U.S. financial markets. OTC Link ATS, OTC Link ECN, OTC Link NQB, and MOON ATS™ are each SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. To learn more about how we create better informed and more efficient markets, visit . We are an equal opportunity and E-Verify employer and prohibit discrimination and harassment of any kind. All employment decisions are based on business needs, job requirements, and individual qualifications, without regard to race, creed, color, religion, gender, national origin, age, marital status, political belief, physical or mental disability, sexual orientation, military or veteran status, genetic information, family or parental status, gender identity, pregnancy, including childbirth or related medical condition, or any other characteristic protected by federal, state, or local law. We encourage applicants of all ages and backgrounds. Applicants have rights under Federal Law: Equal Employment Opportunity is the Law Polygraph Protection Act FMLA Powered by JazzHR 05eUEOmo0d

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Job Description Oppenheimer & Co. Inc. is seeking a Senior Director to join our Financial Planning team within the Asset Management Department. The Senior Director is responsible for serving as a value-added extension of a financial professional’s practice. This individual will satisfy this requirement through two major functions – partnership with the financial professional in delivering an industry-leading client experience on all things related to goals-based planning, and also promoting, educating and coaching the firm’s financial professionals, and teams on all things related to Oppenheimer’s financial planning capabilities. This position will report to the Managing Director and Head of Financial Planning. This position may be based at any of the following office location: Chicago, Houston, Los Angeles, San Francisco, Seattle, or New York City. Responsibilities: • Engage with financial professionals to develop business opportunities with new and existing clients via Oppenheimer’s goals-based financial planning process, • Educate financial professionals on best practices with respect to integrating these capabilities and the process of financial planning into their business practices, • In collaboration with the financial professional, attend, participate, and/or lead client discovery and/or plan presentation meetings, • In certain circumstances, drive, partner, or serve as a consultant on the development of an actual plan for presentation, • Be able to speak and present at seminars, webinars, and presentations, sometimes to large groups on various financial planning related topics, • Serve as subject matter expert for financial professionals and affluent UHNW clients on topics related to financial planning and remain knowledgeable and up-to-date on issues that impact financial planning including regulations, and law changes, • Build strong, trustworthy, value driven relationships with financial professionals, branch managers, business partners and senior management at the firm in the interest of promoting financial planning, • Minimum of 7 years’ experience in financial services including, but not limited to, financial planning, goals-based investing, engaging with affluent/HNW and UHNW clients, managed advisory programs, insurance and annuities, and retirement strategies, • Bachelor’s degree in business, finance, accounting or related field required, • Active CFP® financial professionals designation required, • FINRA Registration: Series 7 and 66 (or 63 and 65) required, • Active state life and health insurance license required, • Knowledge and familiarity of branch functionality and also the advisor/client relationship strongly preferred but not required, • Strong understanding of and experience with MoneyGuidePro financial planning software or similar related software, • The ability and flexibility to travel, approx. 10-25% of the year, • Intelligent, enthusiastic self-starter with proven ability to work closely with financial professionals and other team members, • Excellent time management skills, • Ability to juggle multiple planning opportunities at different stages with different financial professionals at any given time., • High ethical standards geared toward putting the clients’ best interest first, • Exceptional presentation skills that can range from a small audience of 1 or 2 individuals to larger groups of 50+ individuals, • Passion for coaching, training, and educating colleagues whose experience can range from little or none up to multiple decades worth of tenure, • Strong working knowledge of Microsoft Office suite For job postings in New York State, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the State of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $130,000.00 - $150,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Job DescriptionAVP, Data Engineer OTC Markets Group - New York, NY - Full Time OTC Markets Group Inc., operator of premier US financial marketplaces, is seeking a Data Engineer to join our IT Infrastructure team. We’re looking for a talented and driven Data Engineer to help power our data ecosystem. In this role, you won’t just maintain pipelines — you’ll build the foundation that enables analytics, insights, and informed decision-making across the organization. If you’re passionate about designing scalable data systems, optimizing performance, and turning complex data flows into reliable, high-quality assets, we’d love to talk to you. We invest heavily in employee satisfaction and offer all our employees a highly competitive compensation package. As a dynamic, growing company that fosters an open culture, we emphasize autonomy, responsibility, innovation, and self-discipline. We are looking for someone who wants to make an impressive impact at a company known for its reputation on quality and achievement. Base compensation for this role is up to $150,000.00 annually, depending on experience. In addition, the position is eligible for our discretionary annual bonus program and equity. What You’ll Do: • Design, build, and optimize scalable ETL pipelines that move data from operational systems into our data warehouse and data lake environments, • Integrate data from multiple platforms and perform complex transformations, aggregations, and calculations, • Design and implement robust data models, schema, tables, views, indexes, and stored procedures, • Ensure data integrity, quality, and consistency by embedding validation and monitoring into pipelines, • Tune and optimize SQL queries and stored procedures to maximize performance and efficiency, • Troubleshoot and resolve production ETL issues as part of a bi-weekly on-call rotation, • Partner with cross-functional teams to translate business needs into reliable, high-performing data solutions, • Additional responsibilities, as assigned.What We’re Looking For:, • 5+ years of hands-on experience building and managing ETL/data pipelines, • 5+ years of experience with relational databases (1 or more of: Informix, SQL Server, PostgreSQL, MySQL), • Expertise in schema design, indexing strategies, SQL development, and query performance tuning, • Strong scripting skills (Shell, Python), • Experience working with AI coding assistant tools and source code management tools such as GIT, • Working knowledge of AWS services such as RDS, Athena, S3 and Glue, • Familiarity with columnar databases, • Excellent communication skills and the ability to collaborate across technical and non-technical teams, • Bachelor’s degree in Computer Science (or related field) and/or relevant certificationsWhat OTC Markets Offers its Team Members (Why You Should Choose Us): Benefits: • Generous Paid Time Off (PTO), • Health, Dental, and Vision Coverage, • Health Savings Account (HSA), • Flexible Spending Accounts (FSA) Dependent & Healthcare, • Limited Purpose Flexible Spending Account (LPFSA), • Generous Paid Parental Leave Program, • Annual bonus and Stock Incentive Program, • 401(K) Plan - Retirement, • Commuter Transit & Parking Program, • Income Protection (Life Insurance, Short- & Long-Term Disability), • Voluntary Benefits (Accident, Critical Illness, & Hospital Indemnity)Perks:, • Hybrid Work Schedule, • Class Pass Partnership (Fitness & Wellness Programs), • Citi Bike Membership Program, • Mondays – Breakfast Bagels & Wednesdays – Pizza Lunch, • Office Snacks and Beverages OTC Link ATS, OTC Link ECN, OTC Link NQB, and MOON ATS™ are each SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. To learn more about how we create better informed and more efficient markets, visit . We are an equal opportunity and E-Verify employer and prohibit discrimination and harassment of any kind. All employment decisions are based on business needs, job requirements, and individual qualifications, without regard to race, creed, color, religion, gender, national origin, age, marital status, political belief, physical or mental disability, sexual orientation, military or veteran status, genetic information, family or parental status, gender identity, pregnancy, including childbirth or related medical condition, or any other characteristic protected by federal, state, or local law. We encourage applicants of all ages and backgrounds. Applicants have rights under Federal Law: Equal Employment Opportunity is the Law Polygraph Protection Act FMLA Powered by JazzHR NU9YZKtkzk

Job Description Optima Partners is looking for a Senior Associate of Compliance or Associate Director of Compliance to have senior oversight of client regulatory compliance matters for some or all of the following: asset managers, hedge funds, private equity, real-estate clients, banks and broker-dealers. Considered candidates for these compliance roles will: • Lead or Support an entire sales cycle; pitches, proposals, follow-ons and general contract terms, • Lead or support a large portfolio of clients as the primary day-to-day oversight resource, • Have deep familiarity for practical compliance and regulatory matters relating to SEC (e.g. investment advisor) CFTC / NFA and FINRA (e.g. broker-dealer) rules, and other regulators where applicable, • Have familiarity with various regulatory mock examination audits, including documentation requests, onsite reviews / interviews and drafting reports, • Have the ability to lead clients on developing all relevant policies and procedures relating to compliance manuals, code of ethics and other areas documented within the business, • Demonstrate the ability to lead on with compliance protocols and training regarding use of expert networks / MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 reviews, etc., • Anticipate client regulatory risks and expectations, focus resources on the necessary tasks that need completion (without compromising quality or other client deliverables), • Be up to date on current regulatory developments and abreast of new developments on the horizon, • Experience with Financial Conduct Authority (FCA) or other global regulators a plus SENIOR ASSOCIATE OF COMPLIANCE OR ASSOCIATE DIRECTOR OF COMPLIANCE REQUIREMENTS: • Undergrad degree required from an accredited college or university, J.D. or Advanced degree a plus, • 6-8 years of total industry experience working at one or more asset managers (in-house), law firm (paralegal), advisory, • services firm or ex. regulator, • Strong inter-personal skills, ability to independently (or as part of a team) work on-site at a client office, • Excellent written and verbal communication skills, • Independent, self–starter, entrepreneurial mind-set, as well as collaborative problem solver, • Strong analytical and research skills, • Ability to multi-task and prioritize across a range of projects with constantly shifting priorities in a team environment, • Ability to master new tasks quickly and effectively, • Must have the ability to start with limited restrictions Optima Partners is committed to providing equal opportunities in employment. We will not discriminate between applications for reason of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status age or disability. About Optima Partners Optima Partners is a leading global regulatory compliance advisory firm providing proactive and in-depth regulatory solutions built to meet a clients' individual needs. Optima Partners' unrivalled expertise in the global regulatory landscape, strong relationships with regulators, and a deep commitment to provide clear and practical advice gives clients the services they need to meet the demands of a complex and dynamic financial regulatory environment. The firm currently advises more than 800 clients across its global offices in New York, Chicago, San Francisco, London and Hong Kong. For more information on Optima Partners, go to the firm's website at

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer, With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Our Investment Banking Team is committed to providing in-depth industry knowledge and delivering creative, market-based strategies to clients in all major industries, with a specific focus on Consumer and Retail, Energy, Financial Institutions, Healthcare, Industrial Growth and Services, Industrials, as well as Technology, Media and Communications. Our range of services includes Equity Capital Markets, Debt Capital Markets, Mergers and Acquisitions, Debt Advisory & Restructuring, Debt Private Placements and Fund Placement & Advisory. This combination of industry and product groups enables the firm to deliver advice, strategies and capital with a universal banking approach to our target clients – high growth, entrepreneurial, middle market companies. Job Description Our Healthcare Life Sciences team is actively looking for an experienced Associate for our New York office. The candidate will be working closely with senior members of the Healthcare Group to prepare valuations, prepare analyses and participate in due diligence and drafting sessions for public offerings. Additionally, the candidate will also be responsible for structuring and executing transactions, and often function as a backup for relationships with important clients as well as be the key contact for some clients. Responsibilities: • Conduct scientific and clinical analysis of therapeutic areas, drug mechanisms, development pipelines, and competitive landscapes to inform strategic positioning and transaction narratives, • Support new business (for both public and private clients) and marketing initiatives as appropriate, • Lead day-to-day transaction execution under direction of Managing Directors, • Lead pitch drafting as well as transaction marketing documents, • Originate and execute transactions including Initial Public Offerings, Follow-on Public Offerings, CMPOs, RDs, PIPEs, Private Placements, Convertible Note Offerings, and Mergers and Acquisitions, • Manage and execute on buyer interaction, transaction due diligence, etc., • Review and oversee development of financial models, valuation analyses, research, • Liaise with both internal and external parties (including corporate issuers, financial sponsors, legal counsel, among others) to expand corporate relationships and drive day-to-day deal process, • Bachelor’s Degree required, • 3-6 years of investment banking, equity research or healthcare industry experience required, • Science background with an MD, PhD or PharmD strongly preferred, • Sales driven mentality with confident interpersonal skills to interact with clients and manage team members, • Demonstrated aptitude for quantitative and qualitative analysis, • Exceptional communication skills and executive presence, both verbal and written, • Elevated attention to detail and consistency in work product, • High degree of maturity, integrity, demonstrated leadership skills and work ethic, • Self-starting team player who excels in a fast-paced, entrepreneurial, challenging work environment For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $170,000.00 - $190,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full-service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Job Description: Oppenheimer & Co. Inc. is seeking a Research Associate to join our Emerging Technologies and Services team in New York City. Working directly with a Senior Analyst, you will help cover a high-growth universe spanning electronic components, consumer hardware, and digital media (including video games and mobile AdTech). This is a fast-paced role for a self-starter who excels at complex financial modeling and clear, evidence-based investment writing. Responsibilities: • Research & Analysis: Support the Senior Analyst in developing and marketing equity research products, including company-specific reports and thematic industry analysis., • Financial Modeling: Build and maintain integrated income statements, balance sheets, and cash flow models for covered companies., • Data Management: Organize and maintain proprietary industry data sets and valuation "comps" to support investment theses., • Project Ownership: Independently initiate and complete research projects with minimal supervision, often under tight deadlines., • Finance Expertise: Strong background in accounting and finance with the ability to model complex business scenarios. Advanced skills in integrated 3-statement modeling and valuation., • Communication Skills: Proven ability to write clearly and concisely without hyperbole. Ability to produce high-quality research reports under time constraints., • Mindset: Intellectual honesty, a high degree of curiosity, and the "nimbleness" to update views when presented with new facts., • Work Ethic: A self-starter attitude with the ability to work independently and manage multiple priorities., • Education/Experience: Experience in equity research, video games, consumer electronics, or semiconductors is preferred., • Soft Skills: Ability to admit knowledge gaps and orient quickly when dealing with unknowns. For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $100,000.00 - $150,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth management platform that's designed to elevate the investment experience. Here's a closer look at our key entities: • Futu Clearing Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally., • Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring your investment journey is backed by expertise., • Moomoo Technology Inc.: Offering a data-rich trading platform, we provide unparalleled insights and tools to enhance your trading strategies. Note that this entity is not a licensed broker-dealer. For deeper insights into our entities and affiliates, explore futuclearing.com or moomoo.com/us to discover the future of investing with confidence and innovation. Program Overview This structured internship is designed as a hands-on learning experience for students interested in financial markets, data analysis, and regulatory compliance within a FINRA-regulated environment. Participants will gain practical exposure to how a clearing firm monitors trading activity, identifies potential risks, and supports regulatory obligations—building skills directly applicable to careers in compliance, risk, and financial services. Location: Jersey City, New Jersey or Dallas, Texas Schedule: 4 days per week in office Requirements What You’ll Learn & Do: • How trade surveillance programs detect and review unusual trading activity, • The lifecycle of alerts, exceptions, and compliance case management, • Core regulatory concepts (e.g., market conduct, exception reporting), • Data analysis techniques used in compliance environments, • How Compliance, Operations, and Surveillance teams work together Key Learning Activities • Prepare and organize datasets used in trade surveillance reviews, • Support tracking and documentation of alerts and exception cases, • Perform data quality checks to ensure accuracy and completeness, • Assist in creating reports and internal compliance documentation, • Contribute to process improvement and regulatory support projects Skills You’ll Build • Advanced Microsoft Excel and data management skills, • Analytical thinking and attention to detail, • Understanding of financial market structure and regulation, • Professional communication in a regulated business environment Data Responsibility & Ethics Participants will be trained on confidentiality and data protection standards: • Work is performed using anonymized or restricted datasets, • No access to personally identifiable information (PII), • Adherence to firm information security and compliance policies Who Should Apply Students currently enrolled in an accredited college or university with an interest in: Finance, Accounting, Economics, Business Administration, Data Analytics, Information Systems, Mathematics, Risk Management, Legal Studies, or Computer Science Preferred Skills • Experience with Excel (formulas, sorting/filtering, data organization), • Familiarity with financial markets or brokerage operations (a plus) What You’ll Gain: • Real-world experience in trade surveillance and compliance, • Exposure to regulatory frameworks and financial operations, • Practical, resume-building skills in data analysis and risk monitoring

Job Description About Futu US Inc. Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth management platform that's designed to elevate the investment experience. Here's a closer look at our key entities: • Futu Clearing Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally., • Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring your investment journey is backed by expertise. About the Team & Role: As the VP/AML Compliance, you will lead a dedicated team responsible for monitoring and enforcing anti-money laundering policies and procedures. Your leadership will be crucial in ensuring compliance with regulatory requirements and safeguarding the integrity of our financial services. You will work closely with internal and external stakeholders to identify and mitigate risks, providing expert guidance and oversight. This role must be based at the specified office locations, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter. Office Location: Jersey City, NJ This role must be based on the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter. Requirements What you do • Oversee and manage the firm’s AML compliance program in accordance with the Bank Secrecy Act (BSA), USA PATRIOT Act, and applicable FINRA, SEC, and state regulations., • Act as a subject-matter expert on all AML-related matters, including CDD, EDD, transaction monitoring, sanctions screening, and SARs., • Design, enhance, and optimize AML data flows, reporting, and surveillance processes to improve efficiency and reduce manual review., • Partner with Technology, Operations, and Data teams to implement and refine AML systems, automation, and controls; Actimize experience is a strong plus., • Manage AML alerts, investigations, and escalations, ensuring timely and accurate regulatory filings., • Maintain AML WSPs, risk assessments, and internal controls., • Monitor regulatory developments and ensure ongoing compliance with FINRA, SEC, and state requirements., • Prepare for and respond to regulatory exams, audits, and inquiries., • Influence business decisions by providing risk-based compliance guidance., • Build and maintain strong internal and external relationships., • Provide guidance and training to AML staff and stakeholders. What you offer • Required: Broker-dealer experience, FINRA Series 7 License., • Required Series 24 (or ability to obtain within 4 months of hire)., • Significant AML experience within a FINRA-registered broker-dealer., • In-depth knowledge of current FINRA, SEC, state, and related regulations and rules., • Strong background in AML data, systems, and reporting., • Familiarity with Actimize or similar platforms preferred., • Excellent written and verbal communication skills, with the ability to produce clear, concise reports. What We Offer: • Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents, • 401k Employer Contribution: We match your contributions to help you grow your retirement savings, • Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy, • Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work, • Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $120,000 - $160,000. This role is also eligible to participate in our discretionary bonus plan. Disclaimer The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Futu Holdings Limited, including all subsidiaries, is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law. Warning about fake job posts Please be aware of fraudulent job postings by persons not affiliated with Futu, Moomoo, or their affiliates. Criminals may use fraudulent job postings to obtain your personally identifiable information and/or financial information to steal your identity and/or money. All communications to you will come from a business email address. We do not hire through text message, social media, or email alone, and any interviews will be conducted in person or through a video call. We will not ask you for bank account information nor ask you to pay anything during the hiring process. If you see suspicious activity or believe that you have been the victim of a job posting scam, you should report it to your local FBI field office or to the FBI’s Internet Crime Complaint Center.

Job Description About Futu US Inc. Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth management platform that's designed to elevate the investment experience. Here's a closer look at our key entities: • Futu Clearing Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally., • Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring your investment journey is backed by expertise. About the Team & Role: At Moomoo, we’re not just launching products—we’re evolving a digital-first ecosystem that redefines investing for a new generation. Our Crypto Operations team is the backbone behind our innovative crypto offerings, responsible for building and scaling operational processes from the ground up. We’re seeking a forward-thinking Crypto Wallet Operations Specialist who will: • Take ownership of critical custody and wallet operational functions as we advance from a simple product launch to a broader, more dynamic product suite., • Leverage data-driven insights and Python-based tool/bot development to optimize wallet movements, settlement reliability, and on-chain operational health., • Collaborate across Engineering, Security, Product, Compliance, and Finance to ensure our wallet operations are robust, secure, and customer-focused. This role offers an exciting opportunity to combine strategic insight with technical expertise, helping us shape a future-proof custody and wallet operational infrastructure. Office Location: Jersey City, NJ or Dallas, TX This role must be based on the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter. Requirements What You’ll Do Build & Scale Processes: • Design, implement, and continuously improve custody and wallet operations (hot/warm/cold), including transaction authorization policies, withdrawal controls, and address/wallet lifecycle management., • Establish runbooks for deposits/withdrawals, internal transfers, rebalancing, emergency procedures (stuck tx, fee spikes, chain halts), and weekend/holiday settlements., • Run end-of-day (EOD) trade/cash/coin reconciliations; investigate and resolve breaks across venues, books & records, and custody ledgers with crisp root-cause analysis., • Coordinate wallet liquidity and treasury positioning to ensure the right asset is in the right place at the right time for settlement cut-offs; manage buffer sizing and thresholds., • Serve as the technical subject-matter partner for wallet operations across Product, Legal/Compliance, Security, Engineering, and Finance., • Communicate operational insights and optimization opportunities in a clear, actionable manner (short memos, dashboards, incident summaries)., • Ensure wallet procedures meet regulatory standards and mitigate risks (price bands/fat-finger, velocity caps, maker-checker approvals, whitelist-only flows for high-risk routes)., • Maintain robust controls and quality assurance processes (access reviews, change management, policy evidence, chain-specific guardrails)., • Support audits and regulator requests with up-to-date documentation, diagrams, and control matrices; contribute to blameless post-mortems and durable fixes. What You Bring Educational Background & Experience: • Bachelor’s degree or equivalent practical experience., • 3+ years preferred (2+ considered) in operations, custody/wallet operations, data analytics, or engineering—ideally in crypto or financial infrastructure., • Strong SQL for joins, grouping, and validation; comfort working with REST/WebSocket APIs and schedulers, • Entrepreneurial: Self-starter who builds from the ground up and iterates from v1 to vN., • Communication: Translates complex technical processes for non-technical stakeholders; crisp incident write-ups., • Initiative: Anticipates challenges, automates repetitive work, and drives continuous improvement., • Critical/Strategic Thinking: Connects custody controls to broader business goals and customer trust., • Analytical Thinking: Uses data to prioritize, measure, and learn., • Technical Proficiency: Comfortable in a technical environment focused on automation and tool development., • Experience scaling wallet operations in a fast-paced environment., • Knowledge of cryptographic and custody concepts (e.g., MPC thresholds/quorum, evidence capture, approvals). What We Offer • Innovative Culture: A forward-thinking, digital-first approach to redefining investing., • Growth Opportunities: Your ideas directly shape the future of finance at Moomoo., • Competitive Benefits: Comprehensive benefits, competitive compensation, and equity opportunities., • Collaborative Environment: Work across Product, Engineering, Security, Compliance, and Finance with open communication and continuous learning., • Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents, • 401k Employer Contribution: We match your contributions to help you grow your retirement savings, • Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy, • Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work, • Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $90,000 - $130,000. This role is also eligible to participate in our discretionary bonus plan. Disclaimer The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Futu Holdings Limited, including all subsidiaries, is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law. Warning about fake job posts Please be aware of fraudulent job postings by persons not affiliated with Futu, Moomoo, or their affiliates. Criminals may use fraudulent job postings to obtain your personally identifiable information and/or financial information to steal your identity and/or money. All communications to you will come from a business email address. We do not hire through text message, social media, or email alone, and any interviews will be conducted in person or through a video call. We will not ask you for bank account information nor ask you to pay anything during the hiring process. If you see suspicious activity or believe that you have been the victim of a job posting scam, you should report it to your local FBI field office or to the FBI’s Internet Crime Complaint Center.

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This individual will focus on scaling Carlyle's Global Wealth business and investment offerings inside the independent broker dealer channel. The Hybrid Sales Associate is accountable for achieving territory sales targets and KPIs, maintaining and growing advisor relationships, and serving as Carlyl

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Duties and Accountabilities • Advise leading international and domestic corporate clients on the impacts of Mergers & Acquisitions (M&A) transactions with a particular focus in cross-border public company strategic mergers, divestitures, and acquisitions (10%)., • Oversee complex legal research, draft legal memoranda, and search for judicature commentaries addressing specific legal issues related to M&A, private equity investments, public company transactions, start-ups, joint ventures, strategic acquisitions, and corporate governance matters for the infrastructure, renewables, oil and gas, tech, and health industries (5%)., • Lead the drafting, review and negotiation of complex large-capital (over $1 billion) and mid-capital (over $100 million) M&A transaction agreements (including merger agreements, share purchase agreements, asset purchase agreements), equity holder arrangements (including shareholder agreements, limited partnership agreements and limited liability company operating agreements) and documentation relating to management incentive arrangements in connection with private equity investments (including management equity arrangement term sheets and rollover agreements) (15%)., • Draft, review and edit financial and corporate legal documentation understanding the debt finance aspects of transactions for infrastructure projects, including facility agreements, tripartite rights agreements and similar documentation (5%)., • Oversee and facilitate transaction due diligence, including reviewing and analyzing material contracts and other legal documents; identifying potential legal issues; leading diligence calls and; liaising with clients for their input prior to negotiating deal documentation with the deal counterparty and the counterparty's counsel; and presenting key legal issues found in each iteration of a transaction document markup (10%)., • Manage deals for publicly listed clients, including leading the drafting and review of filings with the U.S. Securities and Exchange Commission of applicable forms and schedules in connection with M&A transactions, including proxy statements, information statements, Form 8-K, and Form S-4 (15%)., • Serve as a central point of contact amongst clients, represent the company associates team to engage in business development with clients, aggregating feedback and reflecting them in deal documentation and raising legal issues that require specialist feedback in a timely manner (10%)., • Provide mark-ups of emails and ancillary transaction documents and feedback to more junior associates, summer associates or paralegals and walk them through changes and coach them for future assignments (10%)., • Proactively mentor juniors on each transaction and provide guidance and advice on an as-needed basis, including delegating work based on availabilities and skill sets, revising junior associates' drafts and ensuring documentation is client ready (10%)., • Manage and integrate the work product of multioffice, multi-jurisdiction matter teams of up to 20 Junior Associates, Legal Assistants, Staff Attorneys, and Legal Industry Specialists, including delegation of tasks, assessment of their work product/drafts, and providing guidance and feedback (10%)., • Salary: $310,000-$390,000 per year. Qualifications • J.D., LL.M., or U.S. equivalent in law plus 3 years of professional experience as an Attorney, Associate, or Law Clerk, or any occupation/position/job title providing legal advice to corporate clients regarding mergers & acquisitions at an international law firm., • Must be admitted to the New York State Bar., • Must also have experience with the following special skills: 3 years of professional experience representing U.S. and foreign corporate clients in connection with large-capital (over $1 billion) and mid-capital (over $100 million) domestic and cross-border pubic company mergers, divestitures, and acquisitions, including corporate restructurings, leveraged buyouts, asset sales, private equity investments and corporate governance matter; 3 years of professional experience managing the due diligence process, including drafting due diligence memoranda, leading due diligence calls, and conducting back-up review on regulatory covenants, the Investment Companies Act, Broker Dealer Act, SEC and other securities compliance filings and purchase price adjustment mechanics; 3 years of professional experience advising on M&A infrastructure and project finance deals including managing transaction processes, specialists and counsel on matters in a broad range of industries including semiconductors, infrastructure, renewables, oil and gas, tech, cybersecurity and health; 3 years of professional experience drafting, reviewing, and negotiating corporate legal documentation, including merger agreements, securities purchase agreements, partnership agreements, stockholders' agreements, limited liability company operating agreements, rollover agreements and management incentive equity arrangements in connection with large-capital (over $1 billion) and mid-capital (over $100 million) domestic and cross-border mergers and acquisitions transactions; 3 years professional experience analyzing the corporate health of businesses prior to their acquisition by clients and communicating with domestic and foreign authorities, including (i) drafting, reviewing and amending filings with the U.S. Securities and Exchange Commission relating to U.S. public company M&A and SPAC transactions (including proxy statements, Form 8-K, Schedule 13E-3) and coordinating with the firm's clients and their financial advisors in connection therewith, and (ii) coordinating the collection of information for, and submission of, antitrust filings (including filings under the Hart-Scott Rodino Act) and foreign direct investment (including CFIUS) filings in connection with M&A transactions; and 3 years of professional experience advising clients on M&A deals in the Asia-Pacific and Middle East regions, and specifically major sovereign wealth fund clients. Location & Reporting • Telecommuting may be permitted up to 1 day per week. When not telecommuting, must report to White & Case LLP at 1221 Avenue of the Americas, New York, NY 10020. This position is eligible for incentives under the Employee Referral Program. Nothing herein creates a contract of employment or otherwise modifies the at-will nature of employment. This role reports to Partner Equal Opportunities White & Case is committed to creating a fair workplace. It is our Firm's policy to recruit, employ, train, compensate, and promote without regard to race, religion, creed, national origin, age, gender, sexual orientation, marital status, military or veteran status, disability, genetic information, or any other category protected by applicable law. If you require assistance and/or adjustment to participate in our application and/or interview process, please ___. We will be happy to work with you. The Firm may modify and amend any job description at any time in its sole discretion. Nothing herein creates a contract of employment or otherwise modifies the at-will nature of employment. The above is only a general description of the essential duties associated with this position and does not represent an exhaustive or comprehensive list of all duties. Note to Recruitment Agencies Our internal Recruitment team manages all aspects of lateral hiring. All agencies must have signed terms of business-specific to the relevant office-before submitting any candidates. CVs or applications sent directly to White & Case partners or employees will also not be considered formal introductions. If you have questions, please contact the relevant Recruitment team. We work with our preferred suppliers when engaging agencies.

Hold Brothers Capital, LLC is a New York-based SEC Registered Broker Dealer seeking traders for their proprietary trading operations.

This role is dedicated to the global Rates and Markets Treasury businesses with focus in North America and Latin America country clusters. It will primarily support the Rates and Markets Treasury structuring team with secondary support for the businesses providing bespoke/structured hedging solutions to corporates. This is an excellent opportunity for a lawyer experienced in, and keen to expand their knowledge of, a wide variety of products across both derivatives and cash. The successful candidate could either come from any of a general financing, securities financing, or derivative background, but must be able and willing to cover all three areas. Ultimately they will be expected to demonstrate and be willing to develop their experience and understanding of complex financing structures (including derivatives, securities financing, loans and bespoke note issuances), other complex structures such as asset backed financing (e.g. financial asset backed repos), and derivatives products used by the Rates business across both the linear and non-linear derivatives spectrum as well as products utilized in the structured Markets Treasury business. A successful candidate will need to be able to think creatively about problems and assist the businesses in navigating applicable regulations to arrive at workable solutions. Knowledge/Experience: * At least 4 years' NY legal post-qualification experience. * A good understanding of financial products and how they work and interact (e.g. bonds, loans, derivatives, securities financing). * Derivatives experience within any product group is essential, with knowledge of the derivatives industry body 2006 and 2021 Rates definitions strongly preferred. * Technical elements of derivative documentation and products, including close-out provisions, optional and mandatory termination provisions and cash settlement calculations, non-linear derivatives particularly swaptions; * Knowledge of Dodd-Frank, Volker, Investment Company Act, Commodity Exchange Act, US risk retention, bankruptcy and broker dealer regulation. * Some securities financing experience will be preferred but not mandatory * Experience with secured hedging structures (e.g., finance-linked hedging) will be preferred but not mandatory * Experience of structuring and/or managing complex transactions is preferred but not mandatory. * Bar license in good standing to practice law Skills/Competencies * Ability to work independently, efficiently and under pressure. * Excellent organization skills. * Good diplomatic skills and ability to interact with personnel with different working cultures / levels / background. * Good written and oral communication skills. * Ability to present complex issues simply to senior management. * Fluent in English (written and oral). * Interest in technology. * Intellectual curiosity to learn about new products and new legal structures. Education Juris Doctorate or equivalent law degree Legal Legal - Product Full time New York New York United States $211,280.00 - $316,920.00 In addition to salary, Citi's offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire. Please see the requirements listed above. For complementary skills, please see above and/or contact the recruiter. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi () . View Citi's EEO Policy Statement () and the Know Your Rights () poster. Citi is an equal opportunity and affirmative action employer. Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.

Familiarity with Dodd Frank and other securities laws and regulations governing the structured finance market including broker-dealer regulations and the Volcker Rule (a plus but not required). Senior Legal Counsel, US Lending and Finance. You will be an integral part of the Bank’s lending, financ

Work Location: New York, New York, United States of America Hours: 40 Pay Details: $78,520 - $117,520 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: TD Wealth Job Description: The Financial Advisor (FA) role is a three-year program with a forgivable draw, for financial advisors or planners who will be providing financial planning guidance & selling investment management solutions. A FA will need to leverage their experience to service the unique and complex needs of TD Wealth clients by reviewing financial goals and making investment recommendations aligned to their client's goals. The role will serve as the central point of contact, responsible for providing client service & developing the relationship to achieve greater share of wallet by helping clients achieve their goals related to asset accumulation, preservation, growth, and protection. Depth & Scope: * Experience selling investments and providing financial plans * Demonstrates a commitment to being customer-centric by delivering legendary service during every customer interaction to maximize retention and growth * Ensures all NEW clients receive the complete on-boarding experience, which includes: a thorough client discovery, completion of a financial needs analysis to provide goals-based advice, an introduction to the centralized client servicing team as per client need, and completion of all requisite client documents * Ability to partner and promote lead generation * Manages goals, prioritizes tasks and comfortable working in a fast paced environment * Ensures all new & existing clients are provided with a planning experience * Effectively implement a process to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the client's overall wealth needs, as well as pro-active contacts * Serves as the primary point of contact for TD Wealth client relationships; manages all aspects of the client's relationships with TD Bank and refers to Retail and Wealth partners & affiliates as needed * Implements and executes a differentiated service model/experience for TD Wealth clients * Meets quarterly and annual sales goals * Deepens wallet share by anticipating client needs and suggesting the most appropriate Wealth solutions. Maximizes profitability, while ensuring the client receives an exceptional client experience * Identifies opportunities within your portfolio and network to refer business to Retail and Small Business/Commercial Partners * Executes in thorough manner that is compliant with regulations, policies and procedures * Adheres to all federal, state, SRO regulations and Firm policies related to all business activities (e.g. OCC, SEC, State Insurance Commissioners, NY Department of Financial Services, etc.) * Ensures all Continuing Education requirements are attained * Responsible for understanding and adhering to TD Bank & TD Wealth Policies and Procedures * Responsible for implementing TD's Customer Identification Program (CIP) by collecting and verifying required customer identification information, and performing other Customer Due Diligence and Enhanced Due Diligence Requirements as outlined in the Business Unit AML procedures * Uncovers client's asset and transitions higher threshold clients to appropriate HNW Wealth partners as needed * Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team * Provides coaching, Wealth referral training & on-going feedback to Retail and Small Business staff * Contributes individually, as a team member and as a mentor to new FAs, to ensure strong performance, collaboration and enthusiasm * Represents TD Wealth to the general public in a professional manner * Is involved in the community and support TDBG charity and community initiatives Education & Experience: * Bachelor's degree strongly preferred * 2+ years of providing advice, planning and investment sales * SIE, Series 7, Series 63 required * Required to have L&H and Series 66 (or equivalent) or the ability to obtain all within the Licensing and Registration Schedule Self-directed, with strong ability to plan own activities to achieve sales and referral goals * Advanced understanding of wealth products and services * Strong verbal and written communication skills * Strong organizational and time management skills * Ability to travel within assigned market to meet prospects, clients and partners five days a week * Ability to commute within assigned territory * Strong understanding of wealth management business development techniques * Strong understanding and experience interacting with retail and small business banking clients * Consultative sales experience required * Demonstrated ability to establish relationships and partner effectively with other departments * Proven ability to achieve sales goals Customer Accountabilities: * Understands and supports the Bank's Customer Service Strategy * Considers the impact of decisions on the well-being of TD, its Customers and stakeholders * Provides the highest level of Customer service when dealing with internal partners, vendors or our Customers - WOW at every opportunity * Models quality service delivery at every interaction * Leads and contributes to the ongoing improvement of the partner / Customer experience Employee/Team Accountabilities: * Be engaged in advancing and sustaining a unique, inclusive culture that reflects TD's diversity agenda, and create an extraordinary employee experience * Participates fully as a member of the team and contribute to a positive work environment * May provide leadership, training, and guidance to other team members * Ensures ongoing communication with the team on the status / progress of projects and issues / points of interest * Actively shares information and knowledge, and proactively learn from the expertise of other OCC Language: * This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. * Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant's Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA. * Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position. Physical Requirements: Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% * Domestic Travel - Continuous * International Travel - Never * Performing sedentary work - Continuous * Performing multiple tasks - Continuous * Operating standard office equipment - Continuous * Responding quickly to sounds - Occasional * Sitting - Continuous * Standing - Occasional * Walking - Occasional * Moving safely in confined spaces - Occasional * Lifting/Carrying (under 25 lbs.) - Occasional * Lifting/Carrying (over 25 lbs.) - Occasional * Squatting - Occasional * Bending - Occasional * Kneeling - Occasional * Crawling - Occasional * Climbing - Never * Reaching overhead - Occasional * Reaching forward - Occasional * Pushing - Occasional * Pulling - Occasional * Twisting - Occasional * Concentrating for long periods of time - Continuous * Applying common sense to deal with problems involving standardized situations - Continuous * Reading, writing and comprehending instructions - Continuous * Adding, subtracting, multiplying and dividing - Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes. Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more () Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. If you're passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact. We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best. Training & Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation TD Bank 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, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process. Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

Our client is in the process of getting registered as a broker-dealer and futures commission merchant and are looking for an experienced consultant to help establish and perform regulatory reporting duties.

Serve as the SME and primary contact for Alternative Investments operational inquiries and daily processing. Experience with Alternative Investments and knowledge of. The Broker Dealer Operations Specialist plays a central role in delivering world-class customer and transaction servicing for alterna

Title: Compliance Analyst / Compliance Associate Firm: Global Private Equity Firm ($75B+) Location: New York, NY or San Francisco, CA Compensation Range: $110,000 – $150,000 base salary (dependent on experience) plus generous year end bonus and 100% benefits Job Overview: A leading global private equity firm is seeking a Compliance Analyst or Associate to support its Private Equity Compliance program. This is a highly visible and impactful role focused on identifying, managing, and mitigating compliance risk while fostering a business-oriented compliance culture. The position offers meaningful exposure to regulatory matters, internal stakeholders, and senior compliance leadership in a fast-paced investment environment. Highlights: • High-impact role within a global private equity platform, • Exposure to SEC filings, examinations, and marketing rule compliance, • Collaborative, business-focused compliance environment, • Opportunity to work closely with investor relations and marketing teams, • Conduct internal compliance testing to assess policy effectiveness and regulatory adherence, • Coordinate with external compliance consultants on periodic reviews and examinations, • Support preparation and filing of regulatory filings (e.g., Form ADV, 13F, PF, CFTC filings), • Assist with proxy voting oversight, • Review marketing materials and social media content for compliance with SEC Marketing Rule, • Support SEC examinations and regulatory inquiries, including document collection and response drafting, • Research regulatory developments impacting private fund advisers, • Bachelor’s degree required, • 3–5 years of compliance or related experience at an RIA or broker-dealer preferred, • Working knowledge of compliance testing and SEC regulatory requirements, • Familiarity with SEC Rule 206(4)-7 and SEC/FINRA marketing rules strongly preferred, • Strong organizational, analytical, and communication skills, • Ability to manage priorities in a fast-paced, dynamic environment, • Strong interpersonal skills and ability to work independently or as part of a team

They have a high level of exposure across all aspects of Capital One's Commercial broker dealer (CBDs) activities, including, but not limited to mergers and acquisitions, investment banking, underwriting, equity sales, trading and research, and secondary trading of asset backed securities as well as

Associate Vice President, Hedge Fund Credit Risk. The Company is in search of an Associate Vice President to join its Credit Risk team, with a specific focus on hedge fund counterparty risk and broker-dealer credit exposures. The successful candidate will be responsible for conducting in-depth credi

Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions. Ability to follow through on tasks until completed. Experience with AML and/or banking/broker dealer product onboardings.

The Regional Director, Broker-Dealer Advisor Group, is responsible for business development and relationship management of both new and existing clients drives net new assets (NNA) and manages top-tier advisor relationships within major Wirehouse advisor channels. To be successful, the Regional Dire

Une institution financière reconnue à New York recherche un professionnel en comptabilité pour gérer les états financiers et assurer la conformité aux réglementations.Le candidat idéal doit posséder un baccalauréat en comptabilité ou finance, 6 à 10 ans d'expérience pertinente et une ma

As the Director of Software Engineering at JPMorgan Chase within Commercial and Investment Bank Broker Dealer Platform, you will oversee multiple technical areas, manage the activities of several departments, and foster collaboration across various technical domains. JPMorganChase, one of the oldest

The RIA Custody business is an execution, clearing and custody platform that serves independent RIAs. The key responsibilities of the position will be supporting Goldman Sachs' custody business for registered investment advisors (RIA Custody business). Advise on the strategy, development, integratio

RSM is looking for an Assurance Manager to join our Capital Markets practice, which specializes in serving, introducing, and clearing broker dealer clients of the firm. RSM is one of the largest assurance firms serving broker dealers across the nation. Understand and utilize RSM's Audit Methodology.

We're looking for Audit Senior Associates with experience in the Broker Dealer industry vertical. A background with experience in external audit working with Broker Dealer clients.

Bachelor's degree in accounting or finance required; advanced degree and CPA designation strongly preferred. Minimum 10 years of experience in Operations or Finance as a FINOP or in a comparable role at a self-clearing broker-dealer, with deep expertise in broker-dealer operations and regulatory rep