Broker Dealer Compliance Jobs

Leeds Professional Resources - Miami, FL, United States

Exciting opportunity for a Senior Compliance Officer to join a strong broker-dealer headquartered here in Miami. Amazing opportunities for career growth! Hybrid work schedule. Responsibilities: Risk

from: linkedin.com - 11 days ago

Equitable Advisors - Secaucus, NJ, United States

powered by one of the world’s largest broker/dealers LPL* o Our elite benefits and wealth-building programs o Our competitive payouts o Our operation and compliance infrastructure support *LPL Financial

from: linkedin.com - 2 days ago

Maetz Consulting, LLC - Salt Lake City, United States (+1 location)

Im recruiting for a growing financial services firm who is looking to hire a full-time Broker-Dealer Compliance Manager to work out of their Bountiful, UT office (just outside of Salt Lake City, UT $90,000 - $105,000

from: zoho.eu - 13 days ago

Equitable Advisors - Houston, TX, United States

by one of the world’s largest broker/dealers LPL* Our elite benefits and wealth-building programs Our competitive payouts Our operation and compliance infrastructure support *LPL Financial, member FINRA, SIPC

from: linkedin.com - 3 days ago

Hamlyn Williams - , NY, United States

Client: Leading Investment Management Firm (IPO) Location: New York City or Dallas - Hybrid Role / Requirements: Series 7, 24 RIA and/or broker-dealer compliance experience Previous exposure to RIAs

from: linkedin.com - 6 days ago

Resolute Investment Managers - Irving, TX 75039, USA

Resolute Investment Managers, Inc. Analyst / Sr. Analyst, Compliance (Broker Dealer) Resolute Investment Managers, Inc. ("Resolute ") is a diversified, multi-affiliate asset management platform

from: applicantpro.com - 16 days ago

Lime Trading - New York, NY, United States

experience with a broker dealer/financial services firm in a similar role. Strong knowledge of US registration rules and regulations, especially those of the SEC, FINRA, CFTC/NFA and U.S. state jurisdictions

from: linkedin.com - 3 days ago

Equitable Advisors - , NC, United States (+1 location)

Our operation and compliance infrastructure support *LPL Financial, member FINRA, SIPC, is the clearing broker-dealer for Equitable Advisors, LLC and they are not affiliated. We know that making a move is a big

from: linkedin.com - 15 days ago

Hold Brothers - New York County, New York (+1 location)

Hold Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate to join the team. He/she will help with the delivery of expert advice to broker dealers

from: resume-library.com (+1 source) - 7 days ago

Bernardi Securities, Inc. - Northfield, IL, United States

Bernardi Securities, Inc. /Bernardi Asset Management – Compliance Operations Analyst Location: Northfield, IL Firm description: Bernardi Securities, Inc. (BSI) is a broker-dealer, specializing

from: linkedin.com - 3 days ago