Broker Dealer Jobs
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Search Results - Broker Dealer Jobs
BIP.Monticello-Plano
possess the ability to guide our clients to their desired future state.
What will you do at BIP.Monticello:
We are seeking a detail-oriented and motivated Broker and Broker-Dealer Investigator to support our efforts in identifying risks and red flags...
mindmatch.ai -
moomoo-Dallas
About Futu US Inc.
Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU...
resume-library.com -
Leeds Professional Resources-Miami
Exciting opportunity to join a strong broker dealer here in Miami. This role will oversee AML/KYC compliance and have strong opportunities for career growth. Hybrid work schedule.
Responsibilities:
• Senior specialist with AML/ATF/Sanctions/ABAC...
mindmatch.ai -
New York
Position Summary:
Vista Equity Partners (“Vista”) is seeking to hire a highly accountable and diligent Associate, who will work with the Fund Formation and Broker-Dealer entity to support Vista’s marketing and investor on-boarding functions.
Areas...
icims.com -
Ascendo Resources-Miami
Key Responsibilities:
• Lead, manage, and mentor the KYC team to ensure high performance and adherence to compliance standards.
• Develop training programs to keep the team updated on regulatory changes and best practices.
• Oversee the end-to-end...
mindmatch.ai -
Phaxis LLC-New York
or Prime Brokerage.
Knowledge of the full trade lifecycle for Fixed Income, Equities, and Options, including Fedwire, DTC/NSCC, and OCC settlement processes.
Strong familiarity with vendor systems like Client Impact, BPS, Bloomberg TOMS, and Client TRACE...
resume-library.com -
Des Moines
What You'll Do:
We’re looking for a Senior Privacy Specialist to join our Broker Dealer team in Principal Securities. In this role, you’ll serve as information privacy consultant for our Benefits & Protection Principal Securities business segments...
principal.com -
Expert In Recruitment Solutions-Sunrise (FL)
We are seeking an experienced Project Manager with a strong background in Wealth Management and/or Broker-Dealer operations. This individual will lead and manage strategic initiatives and projects, ensuring they are completed on time, within scope...
resume-library.com -
Amerant Bank-Miramar
the cases for resolution and escalate matters to Supervisors as necessary based on unit’s procedures.
• Oversee and coordinate the completion of several special projects assigned to SMU, such as Foreign Correspondent Bank Annual Evaluation, Broker Dealer...
Edward Jones-Saint Louis
What You Will Do:
• Provide legal advice and guidance to legal, compliance, and business colleagues involving broker-dealer rules and regulations under the federal securities laws, including the Securities Act of 1933, the Exchange Act of 1934...
Jefferies-Charlotte
Jefferies Financial Group Inc. (‘‘Jefferies,’’ ‘‘we,’’ ‘‘us’’ or ‘‘our’’) is a U.S.-headquartered global full service, integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded...
Experis-Charlotte
the Broker Dealer Regulatory Reporting Technology team. The ideal candidate will have great communication, critical thinking, and problem-solving skills, which will align successfully in the organization.
Job Title:
Oracle Database Developer
Location...
Cetera Financial Group-Saint Paul
representatives and customers.
• Provide support to our clients with the navigation and use of various systems associated with the Broker/Dealer
• Work independently within the team to assist callers without requiring outside assistance.
• Participate...
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 -
Green Key Resources-New York
Client: Broker-Dealer firm
Role: Senior Compliance Officer
Experience: 5-15 years
Hybrid: 3 days in the office
Location: Financial District, NYC
Reports directly to the Chief Compliance Officer
Base: 150-180k + bonus (pending experience...
mindmatch.ai -
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