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Dealer Trade jobs

Lead Data Scientist, Technology - New York, NY or Rockville,...
New York, NY
The Lead Data Scientist for Market Regulation Technology will work to establish and institutionalize data science and machine learning best practices as...
Desired Experience: Machine Learning, Scala, R, Python
Senior Principal Quantitative Analyst- Advanced Analytics- N...
New York, NY
Provide technical expertise for the design and conduct of comprehensive, complicated statistical and machine learning research, financial data studies...
Desired Experience: Machine Learning, Spark, Python
Investigator - OFDMI-CRG-PI - New York, NY
New York, NY
The Associate Investigator in the Central Review Group, Preliminary Investigation Unit (PI Unit) assists with investigating and analyzing filings received...

Associate Examiner - 2019 Training Program - Member Regulati...

New York, NY
Participate in the examinations of assigned member firms; assist in identifying key risks and developing strategies to review such risks; conduct...
Desired Experience: Time Management, Accounting

Examiner - Member Regulation, ROOR - New York, NY

New York, NY
Participate in the examinations of assigned member firms; assist in identifying key risks and developing strategies to review such risks; conduct...
Desired Experience: Time Management

Associate Examiner - Member Regulation, Sales Practice - Bos...

Boston, MA
The Associate Examiner learns to identify risks, develops regulatory strategies to address those risks and works in a team environment to achieve the stated...
Desired Experience: Time Management

Investigator - OFDMI-CRG-PI - New York, NY

New York, NY
The Associate Investigator in the Central Review Group, Preliminary Investigation Unit (PI Unit) assists with investigating and analyzing filings received...

Communications Analyst- Registration and Disclosure- Rockvil...

Rockville, MD
Research technical and business work processes of the IARD and Web CRD Systems as necessary for the drafting of instructional or informative subject matter...
Desired Experience: Microsoft Powerpoint, Microsoft Word

Graduate Legal Intern, Office of General Counsel - CPAG - Wa...

Washington, DC
Assist CPAG staff with criminal securities matters currently in the investigative, pre-trial, or trial stages in various Federal and State jurisdictions...
Desired Experience: Time Management, Legal Research, Securities, Intellectual Property

Paralegal - Office of General Counsel - Washington, DC

Washington, DC
Drafts correspondence and legal documents, such as record certifications for the corporate secretary and other corporate officers.
Desired Experience: Office Experience, Legal Research, Securities, Paralegal Certificate, Intellectual Property

Examiner - Member Regulation, Sales Practice - Philadelphia,...

Philadelphia, PA +3 locations
The Examiner is responsible for identifying risks, developing regulatory strategies to address those risks and works with teams to achieve the goals of the...
Desired Experience: Time Management

Associate Coordinator, Facilities- New York, NY

New York, NY
Receiving, scanning, logging and distribution of incoming mail, couriered and messengered packages, in timely manner.
Desired Experience: Time Management, Customer Service

Analyst - Market Regulation, Trading Analysis - Rockville, M...

Rockville, MD
Develops an understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant FINRA/SEC/MSRB rules and...
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