Broker Dealer Jobs in Miami
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Search Results - Broker Dealer Jobs in Miami
BTG Pactual-Miami
with IT to resolve system issues.
• Monitoring subscriptions, redemptions, commitments and transfer orders in Alternative Funds.
• Coordinating with external counterparties such as fund administrators (RTAs), custodians, and prime brokers to ensure smooth...
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 -
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 -
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 -
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 -
Staffingine LLC-Miami
transactions, mitigating risk, increasing transparency, enhancing performance, and driving efficiency for thousands of broker/dealers, custodian banks and asset managers. Industry owned and governed, the firm innovates purposefully, simplifying the complexities...
jobvertise.com -
Ascendo Resources-Miami
advisors and key partners.
Qualifications:
• Bachelors degree in Business, Finance, or related field.
• 3+ years of experience in banking or broker-dealer roles with a focus on BSA/AML Compliance.
• ACAMS or equivalent certification.
• Bilingual (English...
mindmatch.ai -
New York Life-Miami
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 -
Ascendo Resources-Miami
and guidelines.
Qualifications:
• Bachelor’s degree in Finance, Business Administration, or a related field.
• Minimum of 3+ years of experience in KYC, AML compliance, or a related role within a wealth management or broker-dealer environment preferably...
mindmatch.ai -
New York Life-Miami
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 -
Miami Beach (FL)
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 -
BTG Pactual-Miami
knowledge of financial markets products and regulations – mainly in the US and Brazil.
• Some knowledge of the account opening process in a US Broker-Dealer.
• Understanding of the investment preferences of Brazilian investors.
• Knowledge of the securities...
mindmatch.ai -
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 -
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 -
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