Broker Dealer Jobs in New York
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Search Results - Broker Dealer Jobs in New York
Michael Page-New York
The Successful Applicant
• JD from top US Law School
• Admitted to NY State Bar
• 6-8+ years of experience handling broker-dealer regulatory and municipal securities regulatory matters
• Expertise in broker-dealer and securities laws related to municipal...
michaelpage.com -
Phaxis LLC-New York
The Senior Regulatory Accountant is responsible for ensuring compliance with regulatory capital and customer protection rules related to the firm's broker-dealer and customer clearing business. This role requires a deep understanding of SEC, Client...
resume-library.com -
Social Capital Resources-New York
investigations.
Qualifications:
• Bachelor’s Degree required
• 5+ years of experience working in fixed income compliance
• Prior experience working in a broker-dealer is a plus
• Knowledge of SEC, FINRA, and MSRB regulations applicable to fixed income products...
mindmatch.ai -
Dominari Securities-New York
Job Description
Job Description
Broker Dealer Private Equity Sales and Investment Management Opportunity
This is an opportunity to join a world-class private equity training program with seasoned mentors. New York-based boutique broker-dealer...
Social Capital Resources LLC-New York
Top-Tier Broker Dealer in Manhattan is seeking an Operations Analyst for a permanent position!
Responsibilities:
Service business, providing the highest quality support relating to trading and brokerage.
Statement Reconciliation
Reviewing daily...
resume-library.com -
JS Consulting-New York
repo works
• Ba needs to have knowledge of broker/dealer and how trades feed into Loanet...
Phaxis LLC-New York
skillset as outlines in day to day responsibilities
• Experience and knowledge within regulatory reporting (ideally broker dealer)
• Experience working on system implementation/conversion/enhancements with FO/MO/BO systems...
resume-library.com -
Robert Half-New York
A leading global Broker-Dealer & Capital Markets firm is seeking a Head of Treasury to join their growing team in New York City. This role is a key strategic leadership position, overseeing capital and liquidity management while developing treasury...
roberthalf.com -
Madison-Davis, LLC-New York
they’re hiring three Compliance Managers to join their team, covering a mix of commercial bank and broker dealer/swap dealer projects. This is a full-time, in-office role offering the opportunity to work with industry leaders on critical compliance...
mindmatch.ai -
Spartan Placements, LLC-New York
in the financial services industry with private equity, hedge fund, and broker-dealer background.
• Leadership experience, with the ability to manage and motivate a team.
• Proficient in using tax software and Microsoft Office applications.
Spartan Placements...
Associate Staffing-New York
Broker Dealer business. Your responsibilities will include daily, weekly, monthly, quarterly, and annual report submissions. You will work closely with Treasury, Operations, Legal, IT, and Controller departments in the preparation, validation...
mindmatch.ai -
Social Capital Resources LLC-New York
that comprise the compliance program.
Identify and react to changes in regulatory requirements impacting the broker/dealer.
Develop and maintain a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential...
resume-library.com -
Social Capital Resources-New York
and execute branding campaign
• Cultivate relationships with financial representatives via phone and email contact.
• Accommodate inbound sales and marketing calls
• Initiate outbound marketing phone calls to broker dealer community to market and sell firm...
mindmatch.ai -
Phaxis LLC-New York
Growing clearing broker dealer is seeking a compliance associate to join their growing team.
Key Responsibilities:
Support the Compliance Department in implementing and executing activities related to communications, daily trade reviews...
resume-library.com -
Page Executive-New York
legislative and regulatory developments including through membership in industry associations.
The Successful Applicant
• JD from top US Law School
• Admitted to NY State Bar
• 6-8+ years of experience handling broker-dealer regulatory and municipal...
pageexecutive.com -
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