Broker Dealer Management Jobs

Scout Recruiting Group - , CA, United States

Management and Business Exit Planning . For wealth managers serving entrepreneurial, small business, and family business clients, our dual RIA and broker-dealer structure empowers earning investment banking

from: linkedin.com - 2 days ago

Advanced Wealth Strategies - Ann Arbor, MI, United States

client requests. · Performs other related duties and responsibilities as assigned. · Submit monthly compliance reports to broker-dealer and RIA. · Maintains firm compliance regulations. · Maintains office

from: linkedin.com - 2 days ago

SGA Inc. - Jersey City, New Jersey

, Insurance, Banks, and Broker/Dealers. Acquiring a solid understanding of the reviewed activities and specific industry risks. Assessing adequacy and effectiveness of governance, management, and controls

from: resume-library.com - Yesterday

Ascendo Resources - Fort Lauderdale, FL, United States

and personnel's Education and Experience Requirements: Active Series 7 and 24 REQUIRED 3+ years of Sales Supervisory, Branch Compliance, or Supervision within a Broker Dealer/Wealth Management Bachelor's degree

from: linkedin.com - 4 days ago

Jefferies - Boston, MA, United States

, Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K

from: linkedin.com - 4 days ago

Axelon Services Corporation - Jersey City, New Jersey

include Corporate Banking, Project Finance, Media & Telecom, Leveraged Finance, Asset Securitization, Hedge Funds, Insurance, Banks, and Broker/Dealers. Acquiring a solid understanding of the reviewed

from: resume-library.com - Yesterday

III Capital Management - Boca Raton, FL, United States

plus merit-based bonuses. AVM, L.P. () is a registered broker dealer based in Boca Raton, FL that was established in 1982. Our affiliate, III Capital Management () manages ~$5 billion in hedge fund

from: linkedin.com - 4 days ago

JobsRUs.com - Atlanta, GA, United States

simple financial transactions, updating databases with account information, and collaborating effectively with brokers, clients, and corporate management. Requirements: 1 to 3 years of experience

from: linkedin.com - 4 days ago

Ageatia Global Solutions - Jersey City, New Jersey

, Leveraged Finance, Asset Securitization, Hedge Funds, Insurance, Banks, and Broker/Dealers. Acquiring a solid understanding of the reviewed activities and specific industry risks. Assessing adequacy

from: resume-library.com - Yesterday

Atlantic Group - Quincy, MA, United States

rules. Assist in completing all regulatory filings for our Funds and RIA entities. Manage all documentation related to relationships with counterparties, broker dealers, and prime brokers for the firm

from: linkedin.com - 4 days ago