Broker Dealer Jobs in Boca Raton
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Search Results - Broker Dealer Jobs in Boca Raton
New York Life-Boca Raton
subsidiaries, New York Life provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds^(1) through our broker-dealer arm, NYLIFE Securities LLC (member...
talentnest.com -
Boca Raton
Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank.
NM and its subsidiaries...
icims.com -
Phaxis-Aventura, 28 mi from Boca Raton
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 -
New York Life-Boca Raton
such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities licenses and FINRA registrations and affiliate with NYLIFE Securities as a registered...
talentnest.com -
BTG Pactual-Miami, 41 mi from Boca Raton
with IT to resolve system issues.
• Monitoring subscriptions, redemptions, commitments and transfer orders in Alternative Funds.
• Coordinating with external counterparties such as fund administrators (RTAs), custodians, and prime brokers to ensure smooth...
mindmatch.ai -
Credicorp Capital-Miami, 41 mi from Boca Raton
or General Management.
KEY COMPETENCIES AND SKILLS:
• FINRA Series 7 and 24
• Experience in the broker dealer and RIA environments
• Experience dealing with FINRA and the SEC
• Has worked in a supervisory role in the compliance field.
• Has experience...
hirehive.com -
Ascendo Resources-Fort Lauderdale, 16 mi from Boca Raton
Our client is seeking a Senior Portfolio Operations Associate.
You will ideally be currently working for a large institutional broker dealer, a hedge fund or a registered investment advisor.
The client is a very large and growing RIA and has...
mindmatch.ai -
Miami, 41 mi from Boca Raton
OFS), Ocean Financial Advisor, LLC (OFA) and Ocean Insurance Services (OIS).
Responsibilities:
This role ensures the broker-dealer operates in compliance with all applicable securities laws, rules, regulations, and internal policies. Serves...
icims.com -
Creand Wealth Management (Beta Capital)-Miami, 41 mi from Boca Raton
Creand Wealth Management is looking for a professional responsible to join the team and for assisting the Firm in executing the compliance program for the broker-dealer and Investment Advisory, as well as supporting the overall Compliance department...
mindmatch.ai -
Velox Clearing-Miami, 41 mi from Boca Raton
This role is essential for managing payroll, office administration, and supporting various human resource functions within a dynamic correspondent clearing broker-dealer. The ideal candidate will have a proven track record in HR, payroll management, office...
mindmatch.ai -
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