Latest Broker Dealer Operations jobs in Greenwich, CT

19 Broker Dealer Operations Jobs in Greenwich, CT

Technology Compliance - Senior Analyst Interactive Brokers Group, Inc. - Greenwich, Connecticut, USA Compliance Analyst’s primary focus will be to: • Support compliance coverage of the firm’s technology and data enterprise, and coverage for broker-dealer clients • Design periodic and adhoc supervisory reports More than 30 days ago
Wealth Management Advisor 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 11 days ago
Vice President Finance Think Consulting - New York, NY, United States , and Annual Audit Support. Requirements: Bachelor's degree in Accounting or Finance and Series 27 certification are required. Minimum of 10 years of relevant experience in broker-dealer operations or Finance 6 days ago
Treasury Intraday Liquidity Management (Forecasting and Analytics) - Vice President JPMorgan Chase Bank, N.A. - New York, NY on continued evolution of the IDL Dashboard * Partner with the broker/dealer and other Treasury teams to drive transparency and anticipate liquidity needs * Contribute to the USD IDL Playbook covering 3 days ago
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Financial Services Consultant 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 3 days ago
Financial Advisor 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 4 days ago
Compliance Trade Surveillance Mizuho Bank - New York, NY auditors or regulatory bodies. Performs other duties and responsibilities as assigned. Qualifications: 3-5 years in the financial services industry at a broker/dealer or regulatory agency (i.e. FINRA, SEC 5 days ago
Investment Manager 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
EVP - Finance & Operations Broadgate - , NY, United States Broadgate are currently supporting a broker-dealer based out of New York who are looking to hire an EVP Finance & Operations. Accountabilities Partner with CEO and senior management to work on day 20 days ago
Liquidity Risk Management – Associate / AVP Mizuho Americas Services LLC - New York, NY a suite of daily and monthly liquidity risk related reports for the US Operations, with a key focus on banking entities (FBO Branch and IDI subsidiary) as well as broker dealer and derivative swap dealer 6 days ago

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