Broker Dealer Jobs
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Search Results - Broker Dealer Jobs
Phaxis-Aventura
A global financial firm is looking to hire several Client Onboarding Specialists to join their Wealth Management division, specifically supporting broker-dealer clients. In this role, you will play a crucial part in ensuring a seamless and efficient...
mindmatch.ai -
Jersey City
Job Overview:
The Compliance Associate for the Broker Dealer is responsible for ensuring there are strong controls, policies, and procedures in place to ensure that all aspects of Distribution are covered. The Compliance Associate will manage day...
icims.com -
Howard-Sloan Search-Fairfield (CT)
compliance risks and controls implemented by the first and second lines of defense for Swap Dealer & Broker Dealer business lines.
The candidate will work to design an effective Compliance Assurance testing program and will be responsible to lead the program...
mindmatch.ai -
Phaxis LLC-New York
Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking).
Broker Dealer Regulatory Reporting Group
Role Description
We are looking for a highly motivated individual to work in the Broker Dealer Regulatory...
resume-library.com -
Tandym Group-New York
We are seeking a skilled and driven Credit Portfolio Trader to join our esteemed trading desk at our broker-dealer firm. This role presents a unique opportunity for an individual with a passion for fixed income markets and a strong background...
mindmatch.ai -
HEPCO, Inc.-Carpinteria
We are seeking a skilled and experienced Tax Operations Coordinator to join our client's team. The ideal candidate will have at least four years of experience working with a Broker-Dealer (B/D) in Tax Reporting specifically for 1099, 5498, 1099-DIV...
resume-library.com -
Tandym Group-New York
We are currently seeking a talented and experienced ETF Trader to join our dynamic trading desk at our esteemed broker-dealer firm. This is an exciting opportunity for a motivated individual with a passion for financial markets and a strong...
mindmatch.ai -
Page Executive-New York
legislative and regulatory developments including through membership in industry associations.
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...
pageexecutive.com -
Tandym Group-New York
We are seeking a highly skilled and motivated Options Trader to join our esteemed trading desk within our broker-dealer firm. The ideal candidate will possess 3 to 7 years of robust experience in trading options products, with a focus on either...
mindmatch.ai -
Social Capital Resources LLC-Tampa
personnel on the Broker/Dealer and RIA books and records requirements as well as company policies.
• Identify solutions in response to field issues.
• Track and monitor the resolution of deficiencies noted during branch examinations.
• Adhere to firm...
resume-library.com -
Flagstar Bank-New York
and non-licensed bankers. They will also be expected to train the Sales Assistants on the team on systems and programs that the Broker Dealer rolls out. This Support person will also work closely with the Sales Managers for the Investment and Insurance...
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 -
ESL Investment Services LLC-Rochester
makes ESL a great place to work!
225 Chestnut Street
• Rochester, New York 14604
• 585.339.4475
• 800.814.5884
Securities and advisory services are offered through LPL Financial (LPL), a registered investment advisor and broker-dealer (member FINRA...
SCA Health-Birmingham
internal counsel, and SCA Broker-Dealer.
• Continuously challenge resources and procedures to ensure effective and efficient processes and implement improvements, as appropriate
• Develop, implement, and maintain procedures and controls to ensure the timely...
Kestra Financial Independent Advisor-Beaver (PA)
documentation
Manage client needs regarding processing, service, and problem resolution in a timely and accurate manner while ensuring documentation and record keeping adheres to compliance standards
Successfully partner with Broker Dealer for new account...
resume-library.com -
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