Broker Dealer Jobs
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Search Results - Broker Dealer Jobs
Kaufman Rossin-Boca Raton
is seeking a Manager-level professional to join our dynamic Risk Advisory group, in Boca Raton. This group assists broker-dealers, registered investment advisors, and hedge fund managers navigate FINRA & SEC regulations to stay in compliance...
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G MASS-New York
We are seeking an experienced Compliance Project Manager with extensive expertise in broker-dealer services and financial regulatory compliance to join a high-performing team within a leading Hedge Fund in New York City. This is an exciting 12-month...
workable.com -
Kaufman Rossin-Boca Raton
Contribute:
Kaufman Rossin is seeking a Manager-level professional to join our dynamic Risk Advisory group, in Boca Raton. This group assists broker-dealers, registered investment advisors, and hedge fund managers navigate FINRA & SEC regulations to stay...
Underground Administration-Jersey City
risk compliance requirements
• Track regulatory findings and operational incidents
Required Experience:
• 8+ years relevant experience
• Financial regulator background (FINRA, SEC, FRB, etc.) preferred
• Banking/broker-dealer risk management...
resume-library.com -
Michael Page-New York
The Successful Applicant
• JD from top US Law School
• Admitted to NY State Bar
• 6-8+ years of experience handling broker-dealer regulatory and municipal securities regulatory matters
• Expertise in broker-dealer and securities laws related to municipal...
michaelpage.com -
Phaxis LLC-New York
The Senior Regulatory Accountant is responsible for ensuring compliance with regulatory capital and customer protection rules related to the firm's broker-dealer and customer clearing business. This role requires a deep understanding of SEC, Client...
resume-library.com -
Texas Securities, Inc.-Richardson
COMMISSION SALES EXPERIENCE REQUIRED. HIGHLY-QUALIFIED SALESPEOPLE ONLY!
Texas Securities (in business 22 years) is the exclusive Broker-Dealer for Crown Exploration (28 years). We offer private placement Joint Ventures for Oil and Gas drilling...
38 similar jobs: Shady Shores, Little Elm, Lincoln Park, Farmers Branch, Hickory Creek...
eTeam Inc.-Hopkins (MN)
Job Title: Technical Product Manager
Location: Hopkins, MN
Duration: 9+ Months of Project
This is for Broker Dealer transformation program. We are migrating from FIS vendor to Fidelity for our brokerage accounting system. The program is to ensure...
resume-library.com -
Texas Securities, Inc.-San Antonio
COMMISSION SALES EXPERIENCE REQUIRED. HIGHLY-QUALIFIED SALESPEOPLE ONLY!
Texas Securities (in business 22 years) is the exclusive Broker-Dealer for Crown Exploration (28 years). We offer private placement Joint Ventures for Oil and Gas drilling...
Tbwa Chiat/Day Inc-San Francisco
from customers, and a need to grow our team to meet the needs of more companies, teams, and innovators in this way.
The Role:
We are seeking a detail-oriented and proactive Director, BD/RIA Compliance to join Forge’s broker-dealer and RIA Compliance...
appcast.io -
Texas Securities, Inc.-Dallas
COMMISSION SALES EXPERIENCE REQUIRED. HIGHLY-QUALIFIED SALESPEOPLE ONLY!
Texas Securities (in business 22 years) is the exclusive Broker-Dealer for Crown Exploration (28 years). We offer private placement Joint Ventures for Oil and Gas drilling...
Robert Half-New York
A leading global Broker-Dealer & Capital Markets firm is seeking a Head of Treasury to join their growing team in New York City. This role is a key strategic leadership position, overseeing capital and liquidity management while developing treasury...
roberthalf.com -
Social Capital Resources LLC-New York
Top-Tier Broker Dealer in Manhattan is seeking an Operations Analyst for a permanent position!
Responsibilities:
Service business, providing the highest quality support relating to trading and brokerage.
Statement Reconciliation
Reviewing daily...
resume-library.com -
Fidelity Investments-Merrimack
and attention to detail
• Your knowledge of the broker dealer industry
• Your excellent verbal and written communication skills
• Your ability to manage multiple projects concurrently, and meet project deadlines
• Your ability to build and maintain collaborative...
2 similar jobs: Smithfield, Boston
MassMutual-Boston
for an internal annuity wholesaler to support an assigned territory. In this role you will build and grow relationships across our channel with Banks, Credit Unions, Wirehouse, National/Regional Broker Dealers, and Independent Broker Dealers.
You...
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