Broker Dealer Jobs in Miami
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Search Results - Broker Dealer Jobs in Miami
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 -
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
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 -
Imperium Commodity Search-Miami
to the agricultural and soft commodity markets. As part of their continued commercial success, our client is seeking a talented and experienced OTC Hedging Broker/Dealer/Relationship Manager to develop and build the new Mexican market desk, covering the commodities...
mindmatch.ai -
Kaufman Rossin-Boca Raton, 41 mi from Miami
is seeking a Manager-level professional to join our dynamic Risk Advisory group, in Boca Raton. This group assists broker-dealers, registered investment advisors, and hedge fund managers navigate FINRA & SEC regulations to stay in compliance...
workable.com -
New York Life Insurance Company-Miami
provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC...
mindmatch.ai -
New York Life Insurance Company-Miami
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...
mindmatch.ai -
Phaxis-Aventura, 14 mi from Miami
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 -
Ascendo Resources-Fort Lauderdale, 25 mi from Miami
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 -
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