Broker Dealer Jobs in Stamford
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Search Results - Broker Dealer Jobs in Stamford
Stamford
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 -
Xoriant-New York, 34 mi from Stamford
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...
mindmatch.ai -
Phaxis LLC-New York, 34 mi from Stamford
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...
resume-library.com -
Madison-Davis, LLC-Greenwich (CT), 4 mi from Stamford
A boutique broker dealer located in Greenwich, CT looking to bring on board a “Compliance Officer” to join their team. The role is currently full time in office.
Responsibilities:
Ensure adherence to all applicable regulatory requirements...
mindmatch.ai -
Underground Administration-Jersey City, 35 mi from Stamford
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...
resume-library.com -
Green Key Resources-New York, 34 mi from Stamford
Client: Broker-Dealer firm
Role: Senior Compliance Officer
Experience: 5-15 years
Hybrid: 3 days in the office
Location: Financial District, NYC
Reports directly to the Chief Compliance Officer
Base: 150-180k + bonus (pending experience...
mindmatch.ai -
Phaxis LLC-New York, 34 mi from Stamford
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 -
Interactive Brokers Group, Inc.-Greenwich (CT), 4 mi from Stamford
is looking for a motivated and talented Head of Compliance Testing who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker/dealer, regulatory agency, exchange, accounting firm, or law firm...
appcast.io -
Santander Holdings USA Inc-New York, 34 mi from Stamford
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...
Santander Holdings USA Inc-New York, 34 mi from Stamford
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...
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