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Preparation and coordination on establishing and maintaining relationships with external parties such as completing and maintain paperwork for Broker Dealers, Exchanges, Authorized Participants and ...

Broker-Dealer and Swap Dealer regulations (e.g., FINRA rules, SEC rules, CFTC, NFA etc.) * Business Conducts (e.g., Anti-Bribery & Corruption, Whistleblowing, Conflicts of Interest, Conduct Risks ...

We are seeking a qualified P&C Private Equity Senior Account Executive/SVP for a private national broker supporting a NY office that can be housed 100% remote. Client, carrier and vendor visits count ...

My client, a full service broker dealer, is seeking to broaden their offerings and is seeking a highly skilled individual to set up and manage the correspondent clearing process within their firm

Minimum of 10 years' experience at a broker dealer, with specific experience in self-clearing operations; * Previous responsibility for owning core functions of brokerage operations such as ...

Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world's leading provider of OTC data, and an award ...

Role Description We are seeking a visionary and experienced Chief Operating Officer (COO) to join our leadership team at Long Bridge Securities, a FINRA-licensed retail broker-dealer firm. The COO ...

Broker-Dealer, FINRA Series 7, 24, 14, 53, and/or 79. Key Tasks - Manage all FINRA Gateway related items, including registrations, responses, Form U4, Form U5, monitoring of FINRA reports, handling ...

A key aspect of the role is assisting with corporate access points, such as coordinating roadshows, field trips, and external broker meetings. Key Responsibilities: 1. Team Support: * Calendar ...

This person would be responsible for handling all broker dealer compliance. This role presents an excellent opportunity for an individual with a hands-on approach to play a vital role within the ...

S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986. Our ...

... broker and paperwork flow, communicate with USCBP, maintain records in compliance to USCBP regulatio ns • Maintain vendor manual in conjunction with business partners in Production, Social ...

BGC specializes in the brokerage of a broad range of products, including fixed income (rates and credit), foreign exchange, equities, energy and commodities, shipping, insurance, and futures. BGC ...

With broker dealers in the Bahamas, US and Canada, we offer retail traders low-to-no-cost stock trading and direct market access to U.S. equities and equity options via online trading platforms

Our open-architecture platform for client solutions Our broker/dealer powered by one of the world's largest broker/dealers LPL* Our elite benefits and wealth-building programs Our competitive payouts ...

TradeZero America ("TZA"), is a broker dealer focused on the retail active trader and institutional options trading. TZA is seeking a Compliance Officer to assist its current team located in Brooklyn ...

Kaufman Group, is North America's leading wholesale insurance broker and underwriting manager. Burns & Wilcox offers wide ranging and comprehensive solutions to serve retail insurance brokers and ...

Relevant experience providing compliance or legal coverage to a sales or trading Rates or FX desk at a broker/dealer working on or providing trade/sales support to such a desk * Functional knowledge ...

Looking for an exceptional Portfolio Finance Credit Trader to liaise with trading/financing desks, counterparties, exchanges, prime brokers, and custodians to assist in the lifecycle of a trade. · ...

About Streamline Streamline is revolutionizing the commercial real estate brokerage industry by transforming how off-market data is captured, processed, and utilized. Our mission is to map the off ...

Founded in 2011, World is one of the fastest-growing, Top 25 insurance brokers in the U.S. with nearly 3,000 employees in more than 300 offices across North America and the U.K. World specializes in ...

Capitalizing on the firm's financial acumen and technology prowess, Cantor's portfolio of businesses also includes Prime Brokerage, Asset Management, and other businesses and ventures. For 79 years ...

Angove Partners are working with an broker who are looking to expand their presence in the US market. This is an international firm where their focus is expanding their Cyber division. What is the ...

We are seeking a qualified P&C Private Equity Senior Account Executive/SVP for a private national broker supporting a NY office that can be housed 100% remote.Client, carrier and vendor visits count as in office days so a lot of flexibility for an AE).P&C Mid Market and Larger Accounts Techn