Nasdaq Technology is looking for a Business Analyst to join our Broker Dealer team in New York. If Innovation... clients to understand their business scenarios where required and act as a representative of the Broker Dealer team in these...
Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst II is responsible... for supporting institutional broker dealer operations including collateral management, asset movement, trade settlement, municipal...
the Broker Dealer Channel as well as provide valuable client solutions to assist advisors in growing their business using... Wealth Group agenda. The position will be based out of Boston, MA. As a Broker Dealer Regional Consultant...
Position: BCG (Business Controls Group) Analyst Location: New York, NY 10017 Monday to Friday... Job Description: Business Controls Group ("BCG") Analyst This position is for a BCG Analyst. BCG is responsible for the delegate supervisory...
Knowledge of broker-dealer related SEC and Client rules A strong understanding of securities trading and corresponding.... Rate Range: $42-$44/Hr Job Description: Business Control Group is responsible for the delegate supervisory oversight...
Software Guidance & Assistance, Inc., (SGA), is searching for a Business Analyst for a CONTRACT assignment... understanding of US regulatory requirements specific to Broker Dealer Operations. FINRA Series 99 and/or 7 10+ years...
will provide more details. Position Summary: The Operational Risk Analyst supports the Business Unit Risk Management (BURM..., assessment, and monitoring of key business operational risks. The Operational Risk Analyst will also assist in the remediation...
for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage... events, proxy, and/or shareholder communications. The Associate Analyst responsibilities may include monitoring corporate...
Pay rate range: $35-40/hr. Description: Business Controls Group ("BCG”) – Temporary Analyst This position... by management, compliance or legal departments Requirements/Qualifications Knowledge of broker-dealer related SEC and Client...
Description: Business Controls Group (“BCG”) – Temporary Analyst This position is for a BCG Analyst for Client... Requirements: Qualifications Knowledge of broker-dealer related SEC and FINRA rules A strong understanding of securities...
offs, and broker/dealer allocations. Create and administers investor reporting for established investors including... headquartered in Plano, TX, is seeking a Financial Analyst to join our Finance Team. This role offers an exciting opportunity...
today—and tomorrow. Job Summary The Senior FP&A Analyst role is an important role which provides the foundational financial support to business..., In-Force, Broker Dealer and Investment Advisor operations. Responsibilities for this role include actuals management...
Finance Credit and Risk Analyst – Newport Beach, CA Work for a well-respected minority investment bank... and international equities and more. · Growing small business with personal and professional growth FEATURES AND BENEFITS: · 401...
's Broker-Dealer legal entities and affiliates Assist the development of test scripts and thematic financial regulation-related... Must have a working knowledge or understanding of the control functions of a Broker Dealer and/or similar entities i.e. FCM or SEF...
organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or a similar organization. Alternatively, experience in... as a . About Your Team: Interactive Brokers (IBKR) is hiring an Enhanced Due Diligence (EDD) Analyst in our Chicago office. The analyst...
Dealer requirements. Strong industry knowledge and working knowledge of the financial services focused on broker-dealer...Job Role: Regulatory Compliance Analyst Duration: 5 Months Contract with possible extension Location : Jersey City...
/declines in order to limit broker dealer liability and financial loss Independently determine business is in good order...Job Description: The Principal Control Analyst, is responsible for conducting supervisory reviews of submitted...
A Securitized Products Market Analyst at Refinitiv’s Evaluated Pricing Service is responsible for providing timely..., custodians, and retail brokerage for client reporting, research, risk analysis, and portfolio valuation. The Analyst...
Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC... on complex regulatory issues. Assist with the day-to-day activity of the broker-dealer monitoring and supervising activities...
). For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered...REGULATORY RELATIONS ANALYST WHAT IS THE OPPORTUNITY? Responsible for working with Associate Director ("AD...