Broker Dealer Jobs in Florida

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Search Results - Broker Dealer Jobs in Florida

Managing Director – Biopharma Investment Banking (Broker-Dealer Head)

Kybora GmbH-West Palm Beach-appcast.io-3 days ago

are seeking an experienced Managing Director to lead our FINRA-registered broker-dealer unit focused on the biopharmaceutical sector. As a senior executive in our boutique investment bank, the Managing Director will drive deal origination and execution...

Chief Compliance Officer

District Partners LLC-Miami-4 days ago

A well-established, fast-growing financial services firm in Miami is seeking a dynamic Chief Compliance Officer to oversee the firm's regulatory program across its broker-dealer and investment adviser operations. This is an exceptional role...

Biopharma IB MD - Lead Deals & Growth

Kybora GmbH-West Palm Beach-appcast.io-4 days ago

A leading investment bank in West Palm Beach is seeking an experienced Managing Director to oversee their broker-dealer unit focused on biopharma. The role involves driving deal origination, managing a team, and ensuring compliance with FINRA/SEC...

Manager of Regional Supervision

Osaic-Saint Petersburg-2 days ago

on broker-dealer policies. • Serve as the primary home office contact for supervision-related inquiries from Financial Professionals. • Identify risks and manage compliance reviews in collaboration with Supervision and Compliance teams. • Support and track...

Annuity Specialist

Global Channel Management, Inc-Tampa-jobvertise.com-6 days ago

for clients o Excellent communication, organization, and analytical skills o Self-motivated and proactive in identifying client opportunities o Experience with insurance carriers, IMOs, or broker-dealer platforms (preferred) o Insurance license (215) required...

Chief Growth Officer

Provenance Wealth Advisors-Fort Lauderdale-2 days ago

of progressive leadership experience within an RIA, wealth management firm, broker-dealer, or financial services organization. • Demonstrated success driving revenue growth, leading sales teams, managing advisors, and overseeing product or platform strategy...

Pre & Post Trade ETD's & Clearing Operations VP

Santander Holdings USA Inc-Miami-2 days ago

and CDS) • In depth knowledge of the operational processes supporting a Futures Commission Merchant’s (FCM) / Clearing Broker firm • Proficient in all regulatory aspects governing the ETD's and Clearing activities in a US Broker Dealer. • Proven track...

Annuity Specialist Tampa, FL

esrhealthcare-Tampa-jobvertise.com-5 days ago

or broker-dealer platforms (preferred) Insurance license (215) required; Series 65 or equivalent a plus Ideal Candidate Traits Detail-oriented with a strategic mindset Comfortable discussing financial products and upgrades with clients Motivated by client...

Vice President, Operations Mutual Funds

Raymond James Financial Services-Saint Petersburg-4 days ago

readiness for new offerings, corporate actions, and regulatory changes. Advocate for the broker-dealer industry within the mutual fund ecosystem and through active participation in industry committees, influencing standards and regulatory developments...

1 similar job: Southfield

Financial Advisor

Ormond Beach-icims.com-1 week ago

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 are in Milwaukee, WI. • Individuals...

Associate Financial Advisor I

LPL Financial Holdings, Inc.-Melbourne (FL)-1 week ago

objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? • Innovative Environment: We foster creativity and growth...

Annuity Specialist Tampa, FL

ESRhealthcare-Tampa-careers-page.com-4 weeks ago

opportunities Experience with insurance carriers, IMOs, or broker-dealer platforms (preferred) Insurance license (215) required; Series 65 or equivalent a plus Ideal Candidate Traits Detail-oriented with a strategic mindset Comfortable discussing financial...

Financial Advisor X2

Pitisci & Associates-Punta Gorda-jobvertise.com-3 days ago

and broker dealers compliance framework • Obtain broker dealer approval on all advertising and communications with the public • Maintain current knowledge of changing economic, regulatory, financial planning, investment trends, products, and general markets...

Surveillance Data Analyst

Winter Park (FL)-icims.com-1 month ago

institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology. The Broker-Dealer is seeking...

Senior AML Compliance Associate

Miami-icims.com-1 month ago

Financial Services (Private Banking, Broker Dealer or Wholesale/Investment Banking) • Conduct financial crime investigations/extensive enhanced due diligence and activity reviews • Must have experience performing customer activity reviews • Actively...