Broker Dealer Operations Jobs

AscendHire - Jersey City, NJ, United States

Senior Operations Manager FINTECH-Broker Dealer-Financial Services JERSEY CITY, NJ-Hybrid 4 days/Week in office Series 7 Must! $140,000 ‒ $160,000 +Bonus/Excellent Benefits Key responsibilities may

from: linkedin.com - 2 days ago

Ascendo Resources - Fort Lauderdale, FL, United States

for the meeting with client/prospect Qualifications 2+ years of experience within Operations within RIA, Broker Dealer or Investment firm Bachelor's degree in related field

from: linkedin.com - 2 days ago

Randstad - charlotte, north carolina

-Tasker Skills Cash Management Treasury Management Institutional Investing Broker-Dealer Operations Qualifications Years of experience: 2 years Experience level: Experienced Randstad is a world leader $21 - $25 per hour

from: randstadusa.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 - 4 days ago

JCW - New York, NY, United States

industry, with a focus on broker-dealer operations and familiarity with FINRA/SEC regulations. Proven track record of successfully developing and implementing compliance policies and procedures, preferably

from: linkedin.com - 9 days ago

Los Angeles, CA ; San Diego, CA (+1 location)

About the DFPI The Department of Financial Protection and Innovation (DFPI) protects consumers and oversees financial service providers and products. The DFPI supervises the operations of state $10,106.00 - $12,051.00 Monthly

from: Governmentjobs.com - Yesterday

BBVA - , NY, United States

Internal Auditor to join our team. The candidate will be responsible for evaluating and improving the effectiveness of risk management, control and governance processes within our Broker Dealer operations

from: linkedin.com - 10 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 - 17 days ago

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

in special projects related to financial planning and risk assessment Work closely with senior accountants and financial analysts to understand the broker-dealer operations Requirements Currently enrolled

from: resume-library.com (+1 source) - 7 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 - 5 days ago