Broker Dealer Jobs
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Search Results - Broker Dealer Jobs
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 -
RSM US LLP-New York
there’s nowhere like RSM.
RSM is looking for a Manager to join our Capital Markets practice, which specializes in serving, introducing and clearing Broker Dealer clients of the firm. Our Capital Markets practice is nationally integrated and operates...
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 -
moomoo-Dallas
About Futu US Inc.
Futu US Inc. stands at the forefront of financial services, housing twoSECregistered broker-dealers alongside a cryptocurrencybrokerage all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU).
Our core...
jobvertise.com -
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...
workable.com -
Phaxis LLC-Jersey City
Growing retail broker dealer is seeking a marketing and advertising specialist to join their compliance team.
Key Responsibilities:
Analyze and review retail communications to ensure compliance with Client, SEC, and internal policies, providing...
resume-library.com -
International Erosion Control Association-Washington
of the compliance program of the broker-dealer. Responsibilities include interfacing with regulatory agencies and general compliance with applicable rules and regulations. The successful candidate will have a thorough understanding of regulatory requirements...
appcast.io -
BCforward-Charlotte
this range due to factors such as location, experience, and job responsibilities, and does not encompass additional non-standard compensation (e.g., benefits, paid time off, per diem, etc.).
Requirements:
Broker Dealer Regulatory Reporting Technology...
Cetera Financial Group-El Segundo
and more.Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.About Cetera Financial Group:Cetera Financial Group ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals...
FHN Financial-Memphis
FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary compliance surveillance, reporting, and guidance for all aspects of a broker-dealer and a bank dealer and offer general support to the compliance department...
mindmatch.ai -
Interactive Brokers Group, Inc.-Chicago
in securities and commodities issues in the broker-dealer and futures commission merchant space interested in joining the firm’s General Counsel office in Greenwich, CT, Chicago, IL or Washington, DC.
What will be your responsibilities within IBKR...
appcast.io -
Austin
Position Summary:
The Manager will be primarily responsible for overseeing the day-to-day accounting and regulatory compliance functions for the broker-dealer operations. This role ensures that all financial reporting, regulatory filings...
icims.com -
Genworth-Richmond
Richmond, VA
YOUR ROLE
As Accounting Manager, you will be responsible for recording and reconciling the financial results for the Variable Annuity separate accounts and broker dealer entity as part of the Operations Controllership team.
What you...
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 -
Cross River-Fort Lee (NJ)
and oversee outside counsel, as necessary.Responsibilities:Work closely with the capital markets, direct lending ,broker-dealer and the investment banking teams representing Cross River in various market participant roles, i.e., sponsor, asset contributor...
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