Clearing and Prime Brokerage Advisory Compliance Officer

Your role Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you know how to evaluate risks in a challenging and fast paced environment? We are looking for someone like that who can: act as a compliance subject-matter expert for the Futures and OTC Derivatives Clearing business within the Investment Bank (IB)...

United States - New YorkComplianceGroup FunctionsJob Reference #289997BRCityNew YorkJob TypeFull TimeYour roleAre you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you know how to evaluate risks in a challenging and fast paced environment? We are looking for someone like that who can: • act as a compliance...

Our client, one of the largest banks in the US with wealth management, investment banking, and international business, is seeking an Prime Brokerage BAsLocation: New York, NYPosition Type: ContractSkills:Mid and Senior level Tech BAs Securities Industry Prime Brokerage SQL Excel

JOB SPEC: (These keywords must be on resume or won't be considered)-Must have experience as a Business Analyst working at a Hedge Fund or Bank within Prime Brokerage-Mut have experience with Margin Optimization for Futures and Product experience either in Prime Brokerage or Market Risk (RECENT)-Must have experience with Treasury Transformations within Prime...

About the team + role The Chief Compliance Officer, Brokerage, will champion a culture of compliance and will be responsible for managing compliance for Robinhood’s broker dealers. The candidate will serve as an advisor for Robinhood Financial and Robinhood Securities’s operations and customer service teams and help ensure compliance with brokerage...

Role Stash Invest is in search of a Brokerage and Compliance Analyst to assist in the day to day Brokerage Operations of a rapidly growing investment advisor. Responsibilities Assist in the day to day brokerage operations, including account management, Clearance/Settlement and Regulatory Compliance Conduct daily Operational reviews of the Firm's accounts,...

Feature Team Manager - Securities Prime Brokerage, Director Permanent contract|New York|Banking operations processing Feature Team Manager - Securities Prime Brokerage, Director New York, United States Permanent contract Banking operations processing Responsibilities The Feature Team Manager for Securities Prime Brokerage role is a...

Chief Compliance Officer Lime Trading Corp is a registered execution-only, agency broker-dealer focusing on supporting low latency trading activity for institutional and retail clients trading for the US markets via various APIs, front-ends, and order management systems. . Lime is a direct member of all of the US Equity Exchanges, has access to all US...

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group,...

Senior Risk Compliance Officer Financial Servies MUSTS-Institutional Compliance Jersey City, NJ-HYBRID Series 7/24 $160-175 + Bonus, Great Benefits! Will assist with a relocation package! The position The candidate will be an integral part of the Compliance Department and work with the various capital markets departments as well as interact with all levels...

BitGo is the leader in digital asset financial services, providing institutional investors with liquidity, custody, and security solutions. Founded in 2013, BitGo pioneered the multi-signature wallet and is the first digital asset company to focus exclusively on serving institutional clients. Active in both centralized and decentralized finance, BitGo offers...

RESPONSIBILITIES: The Senior Compliance Officer will lead the day-to-day management of Capstone’s Global trade compliance practice area and will provide real-time advisory support to Capstone’s trading staff. The ideal candidate is an intellectually curious, dynamic individual who wants to develop skills in a fast-paced environment, has the ability...

**Poste et missions**: A VP-level professional is needed to support the Core Compliance Team in creating and maintaining processes to ensure that all impacted Natixis CIB Americas entities and employees are adequately registered with the appropriate regulatory bodies and comply with related registration requirements. This will include responsibility for the...

Job description Business type Types of Jobs - Compliance / Financial Security Job title Global Markets Regulatory Compliance Advisory - Americas Contract type Permanent Contract Job summary Summary Global Markets Regulatory Compliance (“GMRC”) Advisory – Americas Vice President is responsible for providing advisory on...

Compliance Analyst- EComms Surveillance/Registrations ManagerConduct eComms surveillance for the Firm. Update Firm lexicon. Manage case management and escalation processes.Maintain CRD and NFA account to cover registration fees, fingerprint card fees, exam fees, etc.Track/monitor pending exams for employees required to be licensed.Ability to navigate FINRA...

Job Description:Licensed Customs Brokerage ManagerThe Client is a premier Customhouse Broker and Freight Forwarder. They have become the standard for the expertise needed to handle the Wearing apparel, Perishable, Electronics and Marble & Stone sectors, traditionally the most difficult commodities to both harmonize and provide supply chain management to....

Job Description: Licensed Customs Brokerage Manager The Client is a premier Customhouse Broker and Freight Forwarder. They have become the standard for the expertise needed to handle the Wearing apparel, Perishable, Electronics and Marble & Stone sectors, traditionally the most difficult commodities to both harmonize and provide supply chain management to....

Trading Firm is looking is looking for Associate and VP/Manager level Compliance professionals in New York. This advisory role will essentially make sure the firm is conducting business in accordance with various rules and regulations (FINRA, SEC, CFTC, NFA) as well as internal policies and industry best practices. The ideal candidate will have: 2-7 years of...

A newly established and growing fund focusing on global macro strategies ($5bn+ AuM)is looking to introduce a Senior Compliance Officer into their New York team on a 4-5 month contract basis.This individual will report in the CCO, partnering closely with senior management on the continued build out and development of the global compliance...

Job DescriptionJob DescriptionSTNL Advisors, a boutique commercial real estate consulting firm is hiring an Associate for its Lease Advisory Team. New team members will collaborate with clients to assess leased and owned real estate then establish and implement real estate strategies to maximize lease leverage on individual and portfolio properties. This...