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)...

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...

**Duration**:6+ months strong potential to be extended or converted to Full-time. **Location: midtown NYC**- 3 days onsite and 2 WFH **Rate: $980 per day C2C /$850 per day W2** **Position Overview**: As part of a global team the Risk Manager will have responsibilities for risk oversight of the risks coming from both our Global Equities and Prime 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...

**About Clear Street**: Clear Street is modernizing the brokerage ecosystem. Founded in 2018, Clear Street is a diversified financial services firm replacing the legacy infrastructure used across capital markets. We started from scratch by building a completely cloud-native clearing and custody system designed for today's complex, global market. Clear...

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...

Compliance Officer - Investment Bank Compliance - Origination & Advisory - Capital Markets - Vice President Job ID:R0327387 Full/Part-Time: Full-time Regular/Temporary: Regular Listed: 2024-04-26 Location: New York

**Wealth Management and Advisory Business Associate** **Who We Are**: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage,...

Summary:  Reporting to the Head of Financial Security NY Advisory team in charge of advising  This position is to lead and manage the Advisory group of the Financial Security team. The position's main responsibilities are centered on the following: managing the Advisory team Analysts, assisting the Analysts in reviewing and validating high risk KYC...

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 scheduling and...

Legal & Compliance. New York, NY - Posted Apr 25, 2024 - Requisition No. 124842 The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy Compliance, Compliance Officer, Lead, Surveillance, Advisor, Officer, Business Services

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...

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...

**Sonata Care is one of the top insurance brokerages in the nation**. We are looking for an experienced Insurance Compliance Officer to join our team! We have a 5-star office environment - our company is growing fast, and this is an opportunity for you to come onboard and grow with us! - 2+ years of experience in Insurance Compliance is a MAJOR PLUS. -...

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...

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...

Energy and Real Assets, Americas â Associate / Sr. Associate General Description The Associate / Senior Associate will be responsible for supporting energy and infrastructure advisory assignments primarily in North America. Â The individual will be responsible for all aspects of financial advisory mandates including but not limited to the preparation...

Head of Sanction Office & AFC Advisory Job ID:R0328212 Full/Part-Time: Full-time Regular/Temporary: Regular Listed: 2024-04-11 Location: New York

Position Summary Guggenheim Investments is seeking an exceptional Compliance Officer to join its team. Reporting to the Head of Anti-Money Laundering of Guggenheim Partners Investment Management, LLC (GPIM), an SEC-registered investment advisor. This person will join a highly collaborative team responsible for Anti-Money Laundering (AML), Know Your Customer...