Broker Dealer Operations Jobs in New York State
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Search Results - Broker Dealer Operations Jobs in New York State
Phaxis LLC-New York
Key Responsibilities:
Manage and develop team members, overseeing work performed by outsourced operations teams, including Client BPO.
Create and maintain operational policies and procedures ensuring compliance with SEC, Client, NFA, CFTC...
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 -
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 -
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 -
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 -
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