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 - 12 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 - 3 days ago
Maetz Consulting, LLC - Salt Lake City, United States (+1 location)
I'm 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 - 14 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 - 4 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 - 7 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 - 17 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 - 4 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 - 4 days ago
Social Capital Resources LLC - St. Petersburg, Florida
Top-Tier Financial Services Firm in New York City is seeking a FINOP / Senior Accountant! Role: Support the monthly, quarterly, and annual financial reporting functions for the U.S. Broker Dealer
Register your RESUMEfrom: resume-library.com - Yesterday
Solomon Page - New York, NY, United States
We are working on a new Compliance Manager role with a Broker-Dealer client in lower Manhattan. Our client is a full-service, integrated financial services firm that provides investment guidance
from: linkedin.com - 6 days ago
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