19 Broker Dealer Operations Jobs in New York, NY - page 2
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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 2 days ago
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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 3 days ago
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Principal Risk Specialist - IAVV Specialist Team, Member Supervision - All FINRA Locations FINRA - Jersey City, NJ statements, independent asset and price verification, stock record, cash/security position reconciliations, and various broker dealer business activities a plus. Knowledge Requirements: * Advanced knowledge 9 days ago
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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 8 days ago
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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 17 days ago
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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
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Wealth Management Advisor 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 24 days ago
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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 10 days ago
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Director, Restricted Stock Services Fidelity TalentSource LLC - Jersey City, NJ understanding of New Account procedures Understanding of Securities Processing operations and Broker/Dealer Compliance policies and procedures Experience with SEC filings (10Q, 10K, Form 4, 13D and G, S-1 and S-3 21 days ago
Top locations
- Secaucus, NJ (7)
- Jersey City, NJ (5)
- Greenwich, CT (1)
- Stamford, CT (1)
- Milford, CT (1)
- New York (25)