Broker Dealer Jobs in Summit (NJ)
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Search Results - Broker Dealer Jobs in Summit (NJ)
Simplicity Group Holdings-Summit (NJ)
that specializes in the distribution of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker-Dealer, partners with insurance and investment professionals to help provide consumers with guaranteed income and life insurance...
Michael Page-New York, 19 mi from Summit (NJ)
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 -
Simplicity Group Holdings-Summit (NJ)
updated
Qualifications:
• Bachelor’s degree (Required)
• Prior experience in a Financial Services capacity (RIA, IAR, Bank, Broker Dealer, Annuity, Life) (Required)
• Must be Tech Savvy: Strong Proficiency in Google Office Suite (Excel, Word, Drive...
Robert Half-New York, 19 mi from Summit (NJ)
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 -
Simplicity Group Holdings-Summit (NJ)
Marketing Group Holdings (“Simplicity Group”) is a financial holding company in the independent financial services sector that specializes in the distribution of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker-Dealer...
Underground Administration-Jersey City, 17 mi from Summit (NJ)
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 -
Simplicity Group Holdings-Summit (NJ)
in the independent financial services sector that specializes in the distribution of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker-Dealer, partners with insurance and investment professionals to help provide consumers...
Jersey City, 17 mi from Summit (NJ)
Job Overview:
The Compliance Associate for the Broker Dealer is responsible for ensuring there are strong controls, policies, and procedures in place to ensure that all aspects of Distribution are covered. The Compliance Associate will manage day...
icims.com -
Phaxis LLC-New York, 19 mi from Summit (NJ)
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 -
Selby Jennings-New York, 19 mi from Summit (NJ)
Job Title: Operations Associate
Location (Hybrid): New York, NY
Job Type: Full-time
Compensation: $70,000 - $82,000 base salary + discretionary bonus
Description: We are working with a leading international broker dealer firm looking...
mindmatch.ai -
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