Broker Dealer Jobs in New York State
1 - 15 of 84
Search Results - Broker Dealer Jobs in New York State
Xoriant-New York
Position Title: Business Analyst
Location: Midtown/Manhattan, NY (Hybrid)
Duration: 6 Months contract to hire
BA resources specializing in one of the following domains of Broker-Dealer operations.
• Clearance and Settlement
• Retirements
• Tax...
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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...
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Asgard Regulatory Group, LLC-Melville (NY)
MUST BE ABLE TO COMMUTE TO MELVILLE, NY 5 DAYS PER WEEK
Job Overview:
We are seeking a highly organized and detail-orientedFinancial Compliance/ Broker Dealer Operations Administrator to join our consulting firm on Long Island. This position...
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Phaxis LLC-New York
Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking).
Broker Dealer Regulatory Reporting Group
Role Description
We are looking for a highly motivated individual to work in the Broker Dealer Regulatory...
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Selby Jennings-New York
Job Title: Operations Associate
Location (Hybrid): New York, NY
Job Type: Full-time
Compensation: $65,000 - $75,000 base salary + discretionary bonus
Description: We are working with a leading international broker dealer firm looking...
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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...
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Santander Holdings USA Inc-New York
for Santander Corporate and Investment Banking ("SCIB") businesses, including swaps, securities-based swaps, futures, banking and broker dealer activities
• Develop and maintain effective relationships with internal stakeholders to respond to, report and monitor...
Phaxis LLC-New York
Well Established Broker Dealer Client is seeking a Senior operations manager to oversee it's Correspondent Clearing Operations.
Oversee all Brokerage and Correspondent Clearing Operations for the firm's self-clearing division, managing both local...
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Santander Holdings USA Inc-New York
in preparation of management information reporting and governance materials.
Qualifications:
• 3+ years financial industry experience within a U.S. regulated financial institution, specific work experience with broker-dealer federal and state regulations...
Santander Holdings USA Inc-New York
Corporate and Investment Banking (“SCIB”) businesses, including swaps, securities-based swaps, futures, banking and broker dealer activities
• Develop and maintain effective relationships with internal stakeholders to respond to, report and monitor...
Santander Holdings USA Inc-New York
for Santander Corporate and Investment Banking ("SCIB") businesses, including swaps, securities based swaps, futures, banking and broker dealer activities
• Develop and maintain effective relationships with internal stakeholders to respond to, report and monitor...
Phaxis LLC-New York
Growing broker dealer is seeking a fixed income operations candidate to join their team.
Collaborate closely with the Front Office to ensure accurate and efficient processing of all credit and rates trading activities.
Oversee and resolve customer...
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UpTick Financial- Advisor Recruiters and Consultants-New York
Are you looking for an opportunity to join a fast-growing, independent-minded, client-first, Award-winning $100 Billion dollar, Broker-Dealer?
Our client, a top Broker-Dealer with over $100 billion in AUM and over 90 offices in the US has built its...
mindmatch.ai -
Expert In Recruitment Solutions-New York
of Securities and Capital Markets, Asset Management, or Broker Dealer data
Deep knowledge of data platforms, including relational, NoSQL, and distributed data stores
Expertise in cloud-based data platform such as AWS, Azure, or GCP
Familiarity in big data...
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1 similar job: Quincy
Hold Brothers Capital, LLC-New York
About the job
Hold Brothers Capital, LLC, a leading self-clearing broker-dealer, is looking for a Compliance Associate/Officer to join the team. He/she will help with the delivery of expert advice to broker dealers regarding FINRA, SEC and/or state...
mindmatch.ai -
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