Broker Dealer Jobs in New Jersey
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Search Results - Broker Dealer Jobs in New Jersey
Underground Administration-Jersey City
risk compliance requirements
• Track regulatory findings and operational incidents
Required Experience:
• 8+ years relevant experience
• Financial regulator background (FINRA, SEC, FRB, etc.) preferred
• Banking/broker-dealer risk management...
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Alloy Silverstein-Cherry Hill (NJ)
records, documentation, and reports to assure full compliance as required by board standards and our broker dealer
• Updating CRM and logging of all of the Wealth Manager’s client interaction
• Making recommendations for new client accounts
• Reviewing...
Phaxis LLC-Jersey City
Well established broker dealer client is seeking a strong equity trade support candidate to join their team. The Equity Trade Support VP is responsible for providing full post-execution support for all equity trading activities.
This includes...
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Atlas Search-Parsippany
high-net-worth individuals, family offices and other institutional clients. The RIA is a “hybrid” RIA with a number of its IARs dually registered with a large third-party broker-dealer.
The Compliance Officer will work directly with the firm’s Chief...
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Lenmar Consulting, Inc.-Jersey City
Contribute to the annual tax production project plan
Key Skills & Qualifications:
Familiarity with US withholding and global employee share plan requirements
2. 5 years of experience, preferably in a broker-dealer environment
Strong Microsoft Excel skills...
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Lincoln Investment-Marlton
Lincoln Investment is seeking an experienced Financial Advisor in Marlton, NJ.
For over 50 years, Lincoln Investment has been helping investors work toward their financial goals. Lincoln Investment is a full-service Broker-Dealer, Registered...
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ASK Consulting-Jersey City
processes and procedures policy portal as required
• Familiarity US withholding and reporting for global employee share plan requirements
• Broker dealer experience or background preferred; preferably with 2-5 years’ experience
• Strong Microsoft...
BCG Securities-Cherry Hill (NJ)
Who We Are
BCG Securities is an independent broker-dealer and Registered Investment Advisor (RIA) with over 50 years of dedication to our clients. With a nationwide network of financial advisors, we are a premier choice for professionals seeking...
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Hired by Matrix-Jersey City
Job Description
Job Description
Position Type: Contract
Hybrid (3 days in office)
Required:
• Familiarity US withholding and reporting for global employee share plan requirements.
• Broker dealer experience or background preferred; preferably...
FinPro, Inc.-Somerville (NJ)
new, ground-breaking changes to how the industry functions. We are the go-to firm for starting new banks, and have a wholly owned broker-dealer. We are always evolving, and always looking for a better way to do something.
Our clients hire us...
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Hired by Matrix-Jersey City
and reporting for global employee share plan requirements.
Broker dealer experience or background preferred; preferably with 2-5 years’ experience.
Strong Microsoft Office skills, emphasis in Excel, medium to advanced skill level.
Self-motivated and eager...
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Cetera Investment Services LLC-Fair Lawn
and business development skills
• 3+ years of experience as producing advisor
• Bachelor’s degree preferred
Education and Training
Cetera is nationally recognized as a self-clearing broker-dealer, registered investment adviser, and insurance agency serving...
mindmatch.ai -
eTeam Inc.-Jersey City
as required
Key Skills/Qualifications:
• Familiarity US withholding and reporting for global employee share plan requirements
• Broker dealer experience or background preferred; preferably with 2-5 years’ experience
• Strong Microsoft Office skills, Client...
resume-library.com -
Simplicity Group Holdings-Neptune (NJ)
that specializes in the distribution of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker-Dealer, partners with insurance and investment professionals to help provide consumers with guaranteed income and life insurance...
Jersey City
Job Overview:
The Compliance Associate for the Broker Dealer is responsible for ensuring there are strong controls, policies, and procedures in place to ensure that all aspects of Distribution are covered. The Compliance Associate will manage day...
icims.com -
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