Series 7 Broker - New York, United States - Highspeed Staffing

Compliance Trade Surveillance

23 hours ago

About the Role · The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset classes, to detect trading activity that could adversely affect the firm and its reputation. The surveillance professional wi ...

Equity Capital Markets Sales Broker

6 days ago

About ThinkEquity, LLC ("ThinkEquity"): · ThinkEquity, a leading NYC based financial services firm is looking for trainees for its Institutional and Retail Equity sales department. This is an entry level job perfect for someone coming out of school or someone who has less than 1- ...

Capital Markets Leader

1 week ago

We are seeking a visionary and strategic individual to join our team as a Capital Markets leader. You will assume a pivotal role, spearheading initiatives related to underwriting and distributing debt and equity securities. Collaborating closely with senior executives, you will p ...

Associate, Clearing

1 week ago

**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 c ...

Middle Office Associate

23 hours ago

Company Description · MarketAxess is on a journey to digitally transform one of the world's largest financial markets, enabling the shift from analog, phone-based trading to a fully electronic marketplace. Why does this matter? Because our platform makes trading fixed-income more ...

Wealth Management Advisor

4 days ago

Through a distinctive, whole-picture planning approach, Northwestern Mutual Wealth Management and Financial Advisors empower their clients to make the most of every single day and plan for important moments in their future. They combine their licensed expertise with a personalize ...

Treasury Analyst

4 days ago

**About Us: · - ** · Since its founding in 2017, Prometheum has leveraged its deep expertise in securities law, blockchain and trading to create a compliant ecosystem for digital asset securities that enables all investors to seamlessly invest in digital assets securities. Promet ...

Financial Representative

1 week ago

Financial Advisors at Northwestern Mutual's Midtown NYC Office help their clients live more and worry less through our personalized approach to financial planning. As a business owner, they spend their days acquiring clientele and finding financial solutions with help from our in ...

Associate, Internal Wholesaler I

2 days ago

**_Bring your ideas. Make history. _** · BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody a ...

Associate, Internal Wholesaler I

2 days ago

Overview · Bring your ideas. Make history. · BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custo ...

Investment Banking Analyst

1 week ago

Howden Tiger is the global reinsurance broker and risk, capital, & strategic advisor focused on relentless innovation & superior analytics for top client service. · About Role · Primary Responsibilities: · An analyst will play an integral role on our teams, providing analytical s ...

Entry Level Financial Professional

23 hours ago

**Financial Professional** · **Full Time or Part Time; Remote (Work From Home)** · **Our Agency is expanding to ALL 50 states** · **Calling all Ambitious Financial Enthusiasts** · Are you a go-getter with a passion for finance and an eagerness to embark on an exciting career jour ...

Internal Sales Desk Manager

1 week ago

Position Overview · The Internal Sales Desk Manager will be responsible for managing a range of Analyst and Associate level talent within the Global Wealth Management Solutions business at Apollo. The professionals on the Internal Desk will span multiple channels (US Independent ...

Vp of Equity Middle Office Business Support- Cib

2 hours ago

VP of Equity Middle Office Business Support · - CIB · New York, United States of America · The Vice President/Sr. Associate of Equity Middle Office Business Support within the Corporate & Investment Banking division of Santander US Capital Markets, LLC is responsible for providin ...

Funding Junior Trader

1 week ago

At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each ...

Vp of Equity Middle Office Business Support- Cib

1 week ago

VP of Equity Middle Office Business Support · - CIB · New York, United States of America · The Vice President/Sr. Associate of Equity Middle Office Business Support within the Corporate & Investment Banking division of Santander US Capital Markets, LLC is responsible for providin ...

Regulatory Reporting Associate

1 week ago

**Job Summary** · - Prepare and file various Broker-Dealer Regulatory Reports and assist with projects and process improvement initiatives for RBC Capital Markets, LLC. · - Ensure compliance with SEC, FINRA, CFTC, etc., Regulatory Reporting Requirements. · **What will you do?** · ...

Operations Associate

4 days ago

**Compliance Ops Associate - FINRA Series 24** · If you are a highly motivated individual and looking to join a vibrant growing company, Hennion & Walsh, Inc. may be the right choice for you. · **Overview**: · Hennion & Walsh is an advocate for the individual investor. We believe ...

Broker Dealer Compliance

5 days ago

We represent alternative investment financial technology platform looking to hire an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team and focus on Marketing. Responsibilities will include leading a team in reviewing all marketing mat ...

Compliance Associate

1 week ago

Webull Financial LLC is a FINRA registered broker dealer, we provide online investing platform for retail investors, products include global market data, news and trading in US equities and listed options. We are looking for a talented financial compliance professional in the New ...