Broker Dealer Jobs
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Search Results - Broker Dealer Jobs
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...
resume-library.com -
Insigneo-Miami
with accounting, audit or finance background.
• Requires a minimum of 5+ years experience in the financial service industry, preferably within a Registered Investment Adviser-broker/dealer environment.
• FINRA licenses 7 and 24, preferred.
• Knowledge...
mindmatch.ai -
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...
resume-library.com -
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 -
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 -
Ameritas-Omaha
Position Description:
Provide legal counsel for Ameritas’ broker-dealer and registered investment advisors in a dynamic and exciting environment. Act as the legal department voice supporting AIC/AAS (Ameritas Investment Company/Ameritas Advisory...
1 similar job: Lincoln
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...
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Financial Planning Firm-Clinton (NJ)
Coordinate and develop relationships with branch office, broker dealer, investment vendors and insurance brokerage partners
Prepare and organize materials for client meetings, board presentations, quarterly reporting and internal strategy sessions
Draft...
mindmatch.ai -
Phaxis LLC-New York
Growing clearing fintech broker dealer is seeking a compliance officer to further enhance their Reg Sho framework.
Key Responsibilities
Maintain, administer, and enhance compliance policies, procedures, and written supervisory procedures (WSPs...
resume-library.com -
Jefferies-Charlotte
Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986. Our strategy focuses on continuing to build out...
mindmatch.ai -
Phaxis LLC-New York
A leading middle-market investment bank and full service broker-dealer. , the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment...
resume-library.com -
Cassaday & Company, Inc.-Mclean (TX)
RESPONSIBILITITES
Compliance Program Management
• Oversee all aspects of compliance for a SEC-registered investment advisor and affiliated Broker-Dealer.
• Ensure compliance with regulatory filings.
• Maintain the firm's compliance manual, testing programs...
appcast.io -
UnitedOne Credit Union-Manitowoc
an effective message scaled to appropriate audience.
• High level oral and written communication skills.
For individuals new to this role:
-Have a satisfactory background check and securities registration with our licensed broker-dealer and/or verify all...
Fidelity Investments Inc.-Boston
will coordinate the execution across marketing, sales, asset management, analytics, and market readiness to deliver these relevant insights to our clients. The team supports all channels including broker-dealer, RIA, banking, and insurance.
The Expertise...
appcast.io -
Interactive Brokers Group, Inc.-Greenwich (CT)
is looking for a motivated and talented Head of Compliance Testing who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker/dealer, regulatory agency, exchange, accounting firm, or law firm...
appcast.io -
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