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Two years dealer experience conducting Blackjack, Dice, American Roulette, Caribbean Stud Poker and various other casino games. * Ability to rapidly discern the numbers on dice, cards, wheels, etc ...

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 ...

You will be responsible for new business growth in the mid-tier dealer groups from a group level. Your territory will consist of a predetermined list of targetable dealer groups. You will execute a ...

Rate: $70/hour Onsite 1 day per week in Hoboken * Serves as the examiner-in-charge responsible for all facets of compliance M&T engagements. * Assisting the development and refinement of M&T ...

US Broker dealer Equities back office - settlement, US broker dealer equity back-office systems - Broadridge Shadow, BPS Broadridge Business Process Outsourcing or FIS Phase 3 A global bank is ...

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 ...

Conducting compliance reviews of broker-dealer operations to identify potential regulatory risks, and developing and delivering training programs on FINRA rules and regulations. Policy Development

Lime Trading Corp. is an SEC-registered broker-dealer, member of FINRA/SIPC/NFA. For more information, visit

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 ...

Familiarity with Primary Dealer activities and obligations * Familiarity with the FX Global Code Skills That Will Help You Excel * Relevant experience providing compliance or legal coverage to a ...

Public owns its own FINRA-registered broker-dealer. You'll work with Compliance to ensure that we continue to meet our SEC and FINRA obligations. * You'll help interpret relevant laws and regulations ...

Series 79 / 63 CFTC Swap Dealer Associated Person (if yes, NFA Swaps Proficiency Program is required): * Not Applicable SEC Security-Based Swap Dealer Associated Person: * Not Applicable The expected ...

... a dealer positioning model) · Cultivate and maintain strong relationships with trading counterparties to improve execution terms and gather market insights · Manage both trading-related and ...

... dealing with a variety of trauma situations requiring quick and decisive actions. -Ideal prospective ED RNs must be able to quickly and accurately assess incoming patients with both physical and ...

Madison Avenue Couture is the leading online independent dealer of pristine Hermes handbags and accessories in the USA. We also carry a small collection of Chanel and other ultra-luxury pristine ...

About the job Hold Brothers Capital, LLC, a leading self-clearing broker-dealer, is looking for a Compliance Associate/Officer to join the team. He/she will help with the delivery of expert advice to ...

Leading NFA IB and broker-dealer with a global presence is looking to add seasoned and experienced cash treasuries, fixed income, mortgage bonds, corporate bonds, fixed income RV and institutional ...

... dealing with a variety of trauma situations requiring quick and decisive actions. -Ideal prospective ED RNs must be able to quickly and accurately assess incoming patients with both physical and ...

That could be from a competitor bank or broker-dealer or it could be from the buy side or it could be from a law firm. They need specific experience of working with these type of securities to be ...

Knowledge of privacy laws (GDPR, CCPA) and broker-dealer compliance * Prior experience at a crypto exchange or startup crypto project What You Bring: Educational Background: A bachelor's degree in ...

Must demonstrate a professional, courteous, and respectful attitude in dealing with patients, immediate supervisor, and other employees. * Practice accepted infection control measures in accordance ...

Company Overview kACE was created when FENICS Software, a leading provider of FX derivatives dealing and risk management solutions, acquired the specialist foreign exchange (FX), rates pricing and ...

... dealer, registered investment adviser, and insurance agency serving the clients of nearly 500 institutions with assets ranging from $15 million to $13 billion nationwide. At Cetera, we're committed ...

Active monitoring of advisory and broker-dealer activities to ensure compliance with policies & procedures * Deep knowledge and administration of the firm's compliance testing program under 206(4)-7 ...