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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

W. Kaufman Group to broker, write, insure and finance the most highly specialized risks in the world. Equal Opportunity Employer The H.W. Kaufman Group of companies is an equal opportunity employer

Seeking a Senior Risk Manager for our client, an online Brokerage firm. About the Role - Your role will be to oversee the firm's risk management framework, work closely with the executive team to ...

Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment products * Provide technical guidance and ...

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 ...

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 ...

A financial services firm in Midtown, NY, is seeking a Regulatory Compliance Manager for their Broker-Dealer team. This role will focus on overseeing and managing compliance initiatives, particularly ...

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 ...

Cutting edge financial technology firm is looking for a Project Manager to oversee initiatives within the broker-dealer space. Candidates must have knowledge in Prime Brokerage, Execution, Futures ...

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 ...

Treasury Clearing, working side-by-side with colleagues in Compliance, Operations, Front Office and other functions of a bank/broker-dealer. • The regulatory areas covered by the project require ...

Develop and implement diverse marketing initiatives across sales engagement, events, digital media, and public relations, specifically targeting Independent Broker Dealers (IBDs). * Work closely with ...

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 ...

You will gain exposure to an expansive suite of global trading infrastructure technologies, covering market and broker connectivity, proprietary and third-party trading applications, as well as ...

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 ...

Answer, screen, and transfer all incoming calls and record tenant / broker information into a central database (excel spreadsheet or CRM). * Input all email leads and broker inquiries into a central ...

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 ...

Margin Specialist TradeZero America, a growing broker dealer in the fintech space is seeking an experienced Brokerage Operations Specialist for its New York office. The employee will report to the ...

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. · ...

Ensure that all technological operations and initiatives adhere to broker-dealer regulatory requirements (e.g., SEC, FINRA), cybersecurity standards, and data privacy regulations. * Infrastructure ...

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 ...

Minimum 4 Years Experience with IBM WebSphere Message Broker flow development and Administration. HRA JOB TITLE: Broker Developer_1 - 4. Minimum 4 Years Experience with IBM WebSphere Message Broker flow development and Administration.