Broker Dealer Operations Jobs
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Search Results - Broker Dealer Operations Jobs
Kestra Financial Independent Advisor-Columbus
relationships with clients and internal partners and influence others without direct control
The ideal candidate will have 2+ years of experience in the financial services industry allowing for a good understanding of broker/dealer operations and
Previous...
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Chesapeake Search Partners-Baltimore
registered (institutional) broker dealer with affiliated entities. They will play a critical role in supporting operations and ensuring the smooth functioning of the firm.
The ideal candidate is highly organized, detail-oriented, and capable of thriving...
mindmatch.ai -
Kestra Financial Independent Advisor-Sewickley
relationships with clients and internal partners and influence others without direct control
The ideal candidate will have 2+ years of experience in the financial services industry allowing for a good understanding of broker/dealer operations and
Previous...
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Creand Wealth Management (Beta Capital)-Miami
and responsibilities.
• Must be able to multi-task within a fast-moving department.
QUALIFICATIONS
• 1-3 years industry experience in Brokerage Operations.
• FINRA Series 99 Preferred.
• Develop a deep understanding of self-clearing broker dealer operations...
mindmatch.ai -
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...
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Kestra Financial Independent Advisor-Kings Park
candidate will have 5+ years of experience in the financial services industry allowing for a good understanding of broker/dealer operations and financial services products, and basic financial planning concepts.
• Previous experience in small business...
workable.com -
Kestra Financial Independent Advisor-Beaver (PA)
in the financial services industry allowing for a good understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts
Previous experience...
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Citadel Federal Credit Union-West Chester (PA)
meetings and maintain accurate records of appointments on financial advisor’s calendar.
Comply with Citadel’s and broker-dealer’s operation and security and compliance procedures.
Perform other duties as assigned.
Qualifications and Education Requirements...
Kestra Financial Independent Advisor-Cypress (TX)
services industry, allowing for a strong understanding of broker/dealer operations and financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance, and financial planning concepts
Previous...
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Lenexa
Summary:
The Compliance Specialist will work closely with the VP, to develop, implement, and oversee the compliance program for Copper Financial Network, LLC (“Copper”), a FINRA registered broker-dealer and SEC Registered Investment Adviser...
icims.com -
Kestra Financial Independent Advisor-Castle Rock (CO)
industry, allowing for a strong understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and financial planning concepts
Previous experience...
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Bridgeton (MO)
Summary:
The Compliance Specialist will work closely with the VP, to develop, implement, and oversee the compliance program for Copper Financial Network, LLC (“Copper”), a FINRA registered broker-dealer and SEC Registered Investment Adviser...
icims.com -
Phaxis LLC-New York
are required.
A minimum of three to five years prior US Equity settlements operations or middle office experience with strong understanding of broker/dealer operations. Prime brokerage Operations Experience is a plus
Strong interpersonal skills and ability...
resume-library.com -
Miami
and 10, in the absence of Series 24) are required.
• Comprehensive knowledge of NDIP products, BSA/AML compliance, best interest, compliance, broker dealer operations, registered investment advisory operations, and compliance management is required...
icims.com -
Kestra Financial Independent Advisor-Fort Worth
industry allowing for a strong understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts
• Previous experience...
resume-library.com -
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