Broker Dealer Jobs in New York State
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Search Results - Broker Dealer Jobs in New York State
Financial Services Professionals with experience in Broker Dealer Operations & Technology Integratio
Tanisha Systems-New York
Hi Team,
Please start working on this requirement.
FTE/FTC – Either one is fine.
Location – NYC
Job Description
Who are we looking for?
Financial Services Professionals with experience in Broker Dealer Operations & Technology Integration...
resume-library.com -
Michael Page-New York
We are seeking a Business Analyst with expertise in US Broker-Dealer Equity back office operations to join our client's Post Trade IT team. The ideal candidate must have an understanding of settlement, accounting, corporate actions, and regulatory...
Phaxis LLC-New York
or Prime Brokerage.
Knowledge of the full trade lifecycle for Fixed Income, Equities, and Options, including Fedwire, DTC/NSCC, and OCC settlement processes.
Strong familiarity with vendor systems like Client Impact, BPS, Bloomberg TOMS, and Client TRACE...
resume-library.com -
Michael Page-New York
requirements
Client Details
Our Client is a Broker Dealer
Description
• Ensure compliance with fixed income trading regulations (electronic, algorithmic, hybrid, and voice), including timely filings, adherence to firm policies, and managing regulatory...
Phaxis LLC-New York
Plusses:
Series 7
Experience within broker dealer or clearing firm...
resume-library.com -
Michael Page-New York
applications from minorities, women, the disabled, protected veterans and all other qualified applicants.
Profile
This position requires great knowledge of US Broker dealer Equities back office - settlement, accounting, corporate actions, regulatory reporting...
Capital One-New York
NYC 299 Park Avenue (22957), United States of America, New York, New YorkCompliance Advisor Senior Manager
The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support...
Phaxis LLC-New York
field.
A minimum of 7+ years of experience in financial operations, preferably within a broker-dealer environment.
Expertise in Client regulations, financial statement preparation, and regulatory filings.
Base Salary - $125,000-$170,000 Depending...
resume-library.com -
Michael Page-New York
and confidential work ethic
• SIE, Series 7, and Series 24 required for the role, but not a prerequisite
Job Offer
Opportunity to grow and be exposed to every facet of broker dealer compliance.
MPI does not discriminate on the basis of race, color, religion, sex...
Kestra Financial Independent Advisor-Wappingers Falls
and growing earnings potential
Education and/or Experience
The ideal candidate will have 3+ years of experience in the financial services industry allowing for a strong understanding of broker/dealer operations and financial services products, including...
resume-library.com -
Michael Page-New York
as significant contract negotiation experience
• Experience advising clients on data and technology matters inside the regulatory frameworks of a broker-dealer
• Excellent drafting and negotiating skills
• CIPP a plus
• Must have experience partnering directly...
Michael Page-New York
veterans and all other qualified applicants.
The Successful Applicant
This position requires great knowledge of US Broker dealer Equities back office - settlement, accounting, corporate actions, regulatory reporting.Must Have:
• Deep knowledge on US...
michaelpage.com -
O'Neil Digital Solutions, LLC-New York
Title: Equity Derivatives Trading, Managing Director
About Us
Founded in 1963, William O'Neil Securities (ONS) is a Broker/Dealer providing trading services to institutional clients, including pension funds, mutual funds, hedge funds, insurance...
appcast.io -
New York Life Insurance Company-New York
managers to execute purchase and sale transactions.
• Develop and enhance relationships with broker-dealers.
• Meet with issuer management teams to source opportunities and conduct due diligence.
• Develop and enhance relationships with analysts at broker...
appcast.io -
New York Life Insurance Company-New York
with the portfolio managers to execute purchase and sale transactions.
• Develop and enhance relationships with broker-dealers.
• Meet with issuer management teams to source opportunities and conduct due diligence.
• Develop and enhance relationships with analysts...
appcast.io -
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