Broker Dealer Operations Jobs in New York State
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Search Results - Broker Dealer Operations Jobs in New York State
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...
resume-library.com -
Crédit Agricole CIB-New York
control environment
• Regulatory compliance experience and background
• Experience with remediations preferred
• Strong knowledge of bank and broker dealer operations
Approved Person Registration
• Series 99 preferred
Competencies Required...
mindmatch.ai -
Syntricate Technologies Inc-New York
Management and/or Broker-Dealer operations. This individual will lead and manage strategic initiatives and projects, ensuring they are completed on time, within scope, and aligned with the firm's business objectives.
The successful candidate will collaborate...
resume-library.com -
Hold Brothers-New York
our proprietary software and API connectivity. This fast, efficient operation offers comprehensive summary reporting and superior technology and service. Hold Brothers is a self-clearing broker-dealer is a member of FINRA and SIPC.
Job Summary
We...
workable.com -
Phaxis LLC-New York
below)
10+ years of related experience in a broker/dealer operation and/or compliance position
Client Series 7, 24, 63 licenses required.
Understanding of Client, SEC and other regulatory requirements around trading and market making activities...
resume-library.com -
Hold Brothers-New York
our proprietary software and API connectivity. This fast, efficient operation offers comprehensive summary reporting and superior technology and service. Hold Brothers is a self-clearing broker-dealer is a member of FINRA and SIPC.
Job SummaryWe...
resume-library.com -
Jobs for Humanity-New York
operations or broker-dealer operations
Strong knowledge of the securities industry, especially in the area of messaging processing and protocols including FIX, Bloomberg XML, TRACE, UTC
Ability to read and interpret interface specifications and broad...
resume-library.com -
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