Latest Broker Dealer Compliance jobs - JobisJob United States Mobile

119 Broker Dealer Compliance Jobs

Compliance Officer - Broker Dealer Leeds Professional Resources - Miami, FL, United States Exciting opportunity for a Compliance Officer to join a strong broker-dealer headquartered here in Miami. Amazing opportunities for career growth! Hybrid work schedule. Responsibilities: Risk 21 days ago
Series 24 - Compliance Associate 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 Yesterday
Senior Compliance Officer Chardan - New York, NY, United States broker-dealer with the U.S. Securities and Exchange Commission and is a member of the following: FINRA, SIPC, NASDAQ and the NYSE Arca, Inc. Chardan is seeking an experienced Compliance professional 2 days ago
Compliance Analyst- EComms Surveillance/Registrations Manager 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 Yesterday
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Financial Advisor - Entry Level Equitable - 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 Yesterday
Financial Advisor - Management Fast Track Equitable Advisors - Secaucus, NJ, 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 2 days ago
Experienced Financial Advisor Equitable Advisors - , 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 2 days ago
AVP, Credit Portfolio Management and Trading Alpha Global Search LLC - New York, NY, United States generated credit related orders in compliance with trading procedures and portfolio guidelines. Build relationships with the broker/dealer community to obtain valuable bids and offers; facilitate improved new Yesterday
Financial Services Professional 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 9 days ago
Compliance Analyst (Hedge Funds) 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 Yesterday

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