Broker Dealer Jobs
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Search Results - Broker Dealer Jobs
G MASS-New York
We are seeking an experienced Compliance Project Manager with extensive expertise in broker-dealer services and financial regulatory compliance to join a high-performing team within a leading Hedge Fund in New York City. This is an exciting 12-month...
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G MASS-New York
We are seeking an experienced Compliance Project Manager with extensive expertise in broker-dealer services and financial regulatory compliance to join a high-performing team within a leading Hedge Fund in New York City. This is an exciting 12-month...
jobvertise.com -
Kaufman Rossin-Boca Raton
Contribute:
Kaufman Rossin is seeking a Manager-level professional to join our dynamic Risk Advisory group, in Boca Raton. This group assists broker-dealers, registered investment advisors, and hedge fund managers navigate FINRA & SEC regulations to stay...
Underground Administration-Jersey City
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...
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Michael Page-New York
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 -
Phaxis LLC-New York
Growing clearing broker dealer is seeking a compliance associate to join their growing team.
Key Responsibilities:
Support the Compliance Department in implementing and executing activities related to communications, daily trade reviews...
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Santander Holdings USA Inc-New York
Corporate and Investment Banking (“SCIB”) businesses, including swaps, securities-based swaps, futures, banking and broker dealer activities
• Develop and maintain effective relationships with internal stakeholders to respond to, report and monitor...
Phaxis LLC-New York
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...
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Fidelity Investments Inc.-Auburn (ME)
will coordinate the execution across marketing, sales, asset management, analytics, and market readiness to deliver these relevant insights to our clients. The team supports all channels including broker-dealer, RIA, banking, and insurance.
The Expertise...
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1 similar job: Boston
Kestra Financial Independent Advisor-Beaver (PA)
documentation
Manage client needs regarding processing, service, and problem resolution in a timely and accurate manner while ensuring documentation and record keeping adheres to compliance standards
Successfully partner with Broker Dealer for new account...
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Kaufman Rossin-Boca Raton
is seeking a Manager-level professional to join our dynamic Risk Advisory group, in Boca Raton. This group assists broker-dealers, registered investment advisors, and hedge fund managers navigate FINRA & SEC regulations to stay in compliance...
workable.com -
MassMutual-Boston
relationships within a dedicated territory across our channel with Banks, Credit Unions, Wirehouses, National/Regional Broker Dealers, and Independent Broker Dealers. You will be responsible for territory production, penetration rates, and diversity of products...
Zero Day Capital Enterprises-New York
including marketing, TAMP services, Broker-Dealer, and insurance solutions, to help you focus on serving your clients. We are seeking licensed Financial Advisors who are eager to take control of their careers and enjoy the freedom of working remotely from...
MassMutual-Boston
will build and grow relationships within a dedicated territory across our channel with Banks, Credit Unions, Wirehouses, National/Regional Broker Dealers, and Independent Broker Dealers. You will be responsible for territory production, penetration rates...
Interactive Brokers Group, Inc.-Greenwich (CT)
is looking for a motivated and talented Head of Compliance Testing who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker/dealer, regulatory agency, exchange, accounting firm, or law firm...
appcast.io -
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