Broker Dealer Jobs in Connecticut
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Search Results - Broker Dealer Jobs in Connecticut
Madison-Davis, LLC-Greenwich (CT)
A boutique broker dealer located in Greenwich, CT looking to bring on board a “Compliance Officer” to join their team. The role is currently full time in office.
Responsibilities:
Ensure adherence to all applicable regulatory requirements...
mindmatch.ai -
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 -
NEOS Investments-Westport (CT)
Sales Specialist to serve as a vital part of an experienced team of investment professionals. The Investment Sales Specialist will be responsible for developing and managing lasting relationships with financial advisors at wirehouses, independent broker...
mindmatch.ai -
Hartford
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 -
Northwestern Mutual-Fairfield (CT)
Financial Strength
• #1 Amongst Life Insurers Most Admired Companies for Financial Soundness, Quality of Products/Services, and Use of Corporate Assets
• 97% Client and Policy-owner Retention year after year
• Top-10 US Independent Broker Dealer
• Annually...
mindmatch.ai -
New York Life Insurance Company-Stratford (CT)
annuities, long-term care insurance, disability income insurance, and investment products 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...
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Northwestern Mutual-Fairfield (CT)
Top 5 US Independent Broker-Dealers
• Unsurpassed financial strength with total company assets of $366 billion
• Recognized for Financial Soundness, Quality of Products/Services, Social Responsibility, and Quality of Management
• Fortune 500® company...
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Connecticut Innovations-Hartford
position. This role is responsible for managing and building insurance sales within a territory of financial advisors. Advisors are from various types of firms; including broker-dealers, banks, advisory firms and other financial institutions.
Expected...
mindmatch.ai -
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