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Fosters/exercises Service Excellence in daily activities, when dealing with general public and staff * Performs administrative, professional and consulting duties as requested by the Chief of Service ...

Comfortable dealing with high-net-worth individuals digitally and in-person * An integrated team player who can also be trusted to self-direct personal workload * A proactive approach to problem ...

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 ...

Summary Global Markets Regulatory Compliance ("GMRC") Advisory - Americas Director is responsible for providing advice on Swap Dealer and Broker Dealer regulations (including the global impact of ...

Our client, a top Broker-Dealer with over $100 billion in AUM and over 90 offices in the US has built its culture around passion, integrity, respect, teamwork, and the desire that other firms may ...

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 ...

Liquidity Risk Management and/or Liquidity Treasury professional to develop and implement a resolution forecast for bank and broker-dealer entities. Secondary responsibilities include drafting ...

LPL Financial, member FINRA, SIPC, is the clearing broker-dealer for Equitable Advisors, LLC and they are not affiliated. We know that making a move is a big decision. So we offer support and ...

Not Applicable 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 ...

Detailed - you can deliver accurate details even when you're dealing with a variety of tasks every day. Problem Solver - you are adept at breaking problems down, finding creative solutions, and ...

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 ...

Understanding of Front Office trading processes and trade lifecycle within a large bank/dealer. * Knowledge of market risk and/or regulatory rules pertaining to risk is advantageous. * Experience ...

Must be service oriented and maintain a professional approach to dealing with business partners/customers. * Positive, enthusiastic, confident attitude with the ability to lead and motivate a team ...

The successful candidate will require a comprehensive understanding of third-party risk lifecycle management concepts with specific emphasis on inter-dealer brokers, financial markets infrastructure ...

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 ...

Demonstrates a professional, courteous, and respectful attitude in dealing with patients, families and significant others * Displays courtesy, tact and patience during

Top 10 U.S Independent Broker-Dealer by Financial Planning Magazine * Top 125 Companies for Training & Development * Business Week's "50 Best Places to Launch a Career" Job Type: Full-time ...

Expertise in Third-Party Risk : 3-10 years of experience managing third-party risks within financial services, including knowledge of inter-dealer brokers, financial market infrastructure, and ...

The role will have responsibility for a range of work, including key responsibilities of a broker dealer. The candidate will collaborate with legal and regulatory personnel at BOWS and across the ...

Comprehensive understanding of third-party risk lifecycle management concepts with specific emphasis on inter-dealer brokers, financial markets infrastructure and commodity third party suppliers

Senior Manager Equity Broker Dealer Regulatory Reporting MUST be local to New York City, Hybrid Schedule, at least 3 days onsite Salary Range: $175k to $250k No Sponsorship Must have experience with ...