Broker Dealer Jobs in Florida
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Search Results - Broker Dealer Jobs in Florida
Phaxis-Aventura
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 -
Social Capital Resources LLC-Tampa
personnel on the Broker/Dealer and RIA books and records requirements as well as company policies.
• Identify solutions in response to field issues.
• Track and monitor the resolution of deficiencies noted during branch examinations.
• Adhere to firm...
resume-library.com -
Ascendo Resources-Fort Lauderdale
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 -
Credicorp Capital-Miami
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 -
Creand Wealth Management (Beta Capital)-Miami
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 -
1 similar job: Chicago
Arena Investors I Quaestor Advisors-Jacksonville
middle and back-office personnel on a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940;
• Support the CCO with FINRA broker-dealer requirements;
• Monitoring of Client...
workable.com -
Equitable Advisors-Tampa
help you achieve your goals through:
• Our open-architecture platform for client solutions
• Our broker/dealer powered by one of the world’s largest broker/dealers LPL
• Our elite benefits and wealth-building programs
• Our competitive payouts
• Our...
mindmatch.ai -
New York Life-Fort Lauderdale
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 -
3 similar jobs: Sunrise, Boca Raton, Hollywood
Creand Wealth Management (Beta Capital)-Miami
and responsibilities.
• Must be able to multi-task within a fast-moving department.
QUALIFICATIONS
• 1-3 years industry experience in Brokerage Operations.
• FINRA Series 99 Preferred.
• Develop a deep understanding of self-clearing broker dealer operations...
mindmatch.ai -
Miami
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 -
Jacksonville
requests with broker-dealer, and serving as a point of contact between financial professionals, product partners, and custodians.
Here are a few examples of the kinds of things you’ll do:
• Provide training to financial professionals for new business...
principal.com -
New York Life-Hollywood
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 -
3 similar jobs: Boca Raton, Fort Lauderdale, Sunrise
Ormond Beach
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 -
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 -
Miami
Overview:
The NDIP Client Onboarding Specialist is responsible for overseeing the efficient and compliant onboarding of new clients to the broker-dealer. Responsible for developing and implementing efficient onboarding procedures and workflows...
icims.com -
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