Broker Dealer Compliance Jobs in Greenwich, CT

The PeterSan Group and PeterSan Legal Staffing - New York, NY, United States

and Compliance team with various compliance focused tasks, including updates to policies and procedures and monitoring and testing. Qualifications 5-8 years of experience, preferably with both broker dealer

from: linkedin.com - 10 days ago

Equitable Advisors - Stamford, CT, 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 - 12 days ago

BestEx Research - Stamford, Connecticut

compliance with regulatory requirements Responsibilities: Oversee and manage the monthly billing process for our SaaS and broker-dealer clientele Conduct thorough reviews and approvals of all invoices. Provide

from: resume-library.com (+1 source) - 19 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 - Yesterday

Global Investment Bank and Broker Dealer - , NY, United States

( Knowledge of FINRA rule 3120 a plus) AML Compliance training Regulatory exams and inquiries Series 7 & 24 Required Seeking 2-5 years of compliance experience at a highly regulated investment bank or broker

from: linkedin.com - 5 days ago

Deutsche Bank - New York, United States

and maintain broker-dealer's Form BD with FINRA. Assist the CCO with any regulatory examinations and inspections by FINRA or other SRO's. Conduct annual training, including the Annual Compliance Meeting salary range for this position in New York City/California is $116,250-$200,000

from: efinancialcareers.com - Yesterday

Coda Search│Staffing - New York, NY, United States

with a registered US broker dealer or regulator.

from: linkedin.com - 7 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 - 10 days ago

Robert Half - US - New York, United States

and monitoring procurement system Monthly reconciliation of financial reporting to Head Office, and the control and analytical review of holding company and broker dealer results, and inter-company confirmations $90k - $110k

from: efinancialcareers.com - 4 days ago

Ascendo Resources - , NY, United States

procedures and portfolio guidelines. Cultivate relationships with the broker/dealer community to obtain competitive bids and offers, enhance new issue allocations, gather market intelligence, and serve

from: linkedin.com - 12 days ago