as a paralegal or associate at a large asset manager who is a registered adviser and broker-dealer, strongly preferred, including... will work with the Fund Formation and Broker-Dealer entity to support Vista’s marketing and investor on-boarding functions...
required At least 3 years of compliance experience (broker-dealer preferred) Experience with fixed income products (notably municipal...Summary Siebert Williams Shank & Co., LLC (“SWS” or the “Firm”) (a FINRA-registered broker/dealer) is seeking...
Associate to join its Compliance team. The primary objective of this role is to assess business activities and support functions... Qualifications Bachelor's / University degree 3 - 6 years relevant experience with a regulator, broker-dealer or other financial...
Growing clearing broker dealer is seeking a compliance associate to join their growing team. Key Responsibilities...: Support the Compliance Department in implementing and executing activities related to communications, daily trade reviews...
Broker-Dealer. You will also have an opportunity to help develop, implement and drive effective and efficient Compliance...ABOUT THE ROLE YieldStreet is looking for a Compliance Associate to work with and report to the Regulatory...
: $65,000 - $75,000 base salary + discretionary bonus Description: We are working with a leading international broker dealer firm..., and pending USD cash payments Qualifications: MUST have experience working at a Broker Dealer 1-4 years of operations...
: $65,000 - $75,000 base salary + discretionary bonus Description: We are working with a leading international broker dealer firm...Job Title: Operations Associate Location (Hybrid): New York, NY Job Type: Full-time Compensation...
within a multi-faceted international financial services institution (preferably large international broker dealer, private banking... across the organization in a multi-site matrix environment Extensive experience in Financial Services (Broker Dealer, Retail...
within a multi-faceted international financial services institution (preferably large international broker dealer, private banking... across the organization in a multi-site matrix environment Extensive experience in Financial Services (Broker Dealer, Retail...
& trading activities. Knowledge of Broker Dealer rules and regulations, which include but not limited to SEC, FINRA, CFTC, NFA... Supervision (CMS) is responsible for directing, leading and operating the First Line of Defense’s Operating Group Compliance...
is required (broker/dealer, capital markets, banking, etc). Strong understanding of accounts payable processes, including invoice... a detail-oriented and efficient Accounts Payable Associate to join the finance team, the ideal candidate will have 3-6 years...
), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance... their financial needs. As a Private Client Investment Associate in JPMorgan Wealth Management, you will have the opportunity...
Broker Dealer business of StoneX Financial Inc (SNEX), from the front office to operations. You will work closely... business and support Broker Dealer Institutional Business. Ability to work in a fast-paced environment while maintaining...