Broker Dealer Operations Jobs
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Search Results - Broker Dealer Operations Jobs
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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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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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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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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Larson Maddox-Charlotte
Are you ready to take charge of compliance within a dynamic institutional broker dealer environment? Were seeking an experienced Chief Compliance Officer - Broker Dealer who will ensure that our operations adhere strictly to financial regulations...
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US Tech Solutions, Inc.-Newark
space, back-office systems
Must have experience with DTC Corp Actions processing functions and broker dealer operations
Skills:
Knowledge of BPS settlement systems is preferred but not required
Strong verbal and written communication skills
Ability...
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Chesapeake Search Partners-Baltimore
as a FINRA-registered (institutional) broker dealer with affiliated entities. The Executive Office Manager will play a critical role in supporting operations and ensuring the smooth functioning of the firm.
As the Executive Office Manager, you will oversee...
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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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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-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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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...
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Birmingham
of accounting or broker-dealer operations experience
• General understanding of securities markets, trading mechanisms, and relevant financial instruments.
• General knowledge of SEC, FINRA, and other applicable securities regulations.
• Proficiency in data...
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 -
US Tech Solutions-Newark
space, back-office systems
• Must have experience with DTC Corp Actions processing functions and broker dealer operations
• Knowledge of BPS settlement systems is preferred but not required
• Strong verbal and written communication skills
• Ability...
mindmatch.ai -
Kestra Financial Independent Advisor-Palo Alto (CA)
years of experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services industry, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance...
resume-library.com -
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