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 -
SGA Inc.-Stamford
understanding of US regulatory requirements specific to Broker Dealer Operations.
Knowledge of FICC processes and margin
Trade support experience working in fast paced environment ensuring trade lifecycle flow
SGA is a technology and resource solutions...
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 -
SGA Inc.-Stamford
Banking Fixed Income Operations and or Middle Office
" FINRA Series 99 and/or 7
" Strong knowledge of Fixed Income settlements, collateral management, and funding.
" Direct understanding of US regulatory requirements specific to Broker Dealer Operations...
resume-library.com -
Michael Page-Stamford
of Fixed Income settlements, collateral management, and funding.
• Familiarity with US regulatory requirements for Broker Dealer Operations.
• Self-motivated with a willingness to attend training and expand knowledge independently.
• Solid understanding...
michaelpage.com -
SGA Inc.-Stamford
and broker/dealer of a UK based financial services firm. Define infrastructure strategy working closely with the US Application lead and global partners and execute on that strategy transforming and modernizing our infrastructure platform.
Ensure safe...
resume-library.com -
Westport (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 -
SGA Inc.-Stamford
Data Analysis
Required Skills :
8+ years of experience; at least 4 in financial services
Experience in US Regulatory rules for broker dealers or financial institutions
Experience in Risk Management in 1 LOD or 2 LOD role, Operational Risk, Controls...
resume-library.com -
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 -
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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