Broker Dealer Jobs in Connecticut
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Search Results - Broker Dealer Jobs in Connecticut
Interactive Brokers Group, Inc.-Greenwich (CT)
in securities and commodities issues in the broker-dealer and futures commission merchant space, who is 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 -
Royalty Hospitality Staffing-Southport (CT)
Financial & Wealth Advisor Role:
Job Summary:
We are seeking experienced Registered Investment Advisors (RIAs) to partner with a leading independent broker-dealer in the U.S., which has a market cap of over $20 billion. This is an ongoing search...
resume-library.com -
Interactive Brokers Group, Inc.-Greenwich (CT)
Interactive Brokers LLC 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...
appcast.io -
Burnham Sterling-Greenwich (CT)
investing.
Regulatory. The Firm operates an SEC-registered broker-dealer to effect securities transactions and a registered investment advisor with respect to its fund business.
Workplace Environment. People who do well at the Company have a strong work...
mindmatch.ai -
SGA Inc.-Stamford
understanding of US regulatory requirements specific to Broker Dealer Operations.
FINRA Series 99 and/or 7
10+ years' experience in Investment Banking Fixed Income Operations and or Middle Office
Preferred Skills :
Undergraduate Degree
SGA is a technology...
resume-library.com -
MassMutual-Windsor (CT)
to effectively and continuously reprioritize an evolving workload
• Experience with broker/dealer or registered investment advisor (RIA) firms
• Experience with trust administration and trust accounting platforms
• Knowledge of private banking products...
Northwestern Mutual-Norwalk (CT)
Soundness,"
Quality of Products/Services," and "Use of Corporate Assets."
• We have unsurpassed financial strength2 with total company
assets of $335 billion.
• We rank among the Top 10 U.S. independent broker-dealers as
measured by total revenues...
mindmatch.ai -
Norwalk (CT)
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 -
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 -
Michael Page-Stamford
About Our Client
Industry leading American based multinational brokerage firm based out of CT.
Job Description
• Perform independent assessment of its broker dealer entities.
• Conduct audits of firm's programs including customer on-boarding...
michaelpage.com -
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