Broker Dealer Jobs in Stamford
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Search Results - Broker Dealer Jobs in Stamford
SGA Inc.-Stamford
understanding of US regulatory requirements specific to Broker Dealer Operations.
FINRA Series 99 and/or 7
10+ years' experience in Investment Banking Fixed Income Operations and or Middle Office
Preferred Skills :
Undergraduate Degree
SGA is a technology...
resume-library.com -
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 -
SGA Inc.-Stamford
understanding of US regulatory requirements specific to Broker Dealer Operations.
Knowledge of FICC processes and margin
Trade support experience working in fast paced environment ensuring trade lifecycle flow
SGA is a technology and resource solutions...
resume-library.com -
Michael Page-Stamford
of Fixed Income settlements, collateral management, and funding.
• Familiarity with US regulatory requirements for Broker Dealer Operations.
• Self-motivated with a willingness to attend training and expand knowledge independently.
• Solid understanding...
michaelpage.com -
SGA Inc.-Stamford
Data Analysis
Required Skills :
8+ years of experience; at least 4 in financial services
Experience in US Regulatory rules for broker dealers or financial institutions
Experience in Risk Management in 1 LOD or 2 LOD role, Operational Risk, Controls...
resume-library.com -
Michael Page-New York, 34 mi from Stamford
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...
Syntricate Technologies Inc-New York, 34 mi from Stamford
Project Manager/Wealth Management or Broker Dealer
New York City, NY (Hybrid)
12+ Months
Web Cam Interview
$70/Hr on W2 or $75/Hr on C2C
We need:
A senior Project Manager with experience leading Wealth Management and/or Broker dealer projects...
resume-library.com -
Michael Page-New York, 34 mi from Stamford
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...
Financial Services Professionals with experience in Broker Dealer Operations & Technology Integratio
Tanisha Systems-New York, 34 mi from Stamford
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, 34 mi from Stamford
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...
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