318 Broker Jobs in New York, NY
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Senior Director, Private Sales Level & Co. - New York, NY, United States affiliate, we act as the primary sourcing agent to find collectors interested in purchasing paintings. Additionally, we broker secondary market works between collectors. Collectively, we do more than $100 10 days ago
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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 Yesterday
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Internal Audit Manager – Broker-Dealer BBVA - , NY, United States Internal Audit Manager – Broker-Dealer About the area: Internal Audit is a global area of over 700 people with a multidisciplinary, dynamic and flexible team of professionals whose knowledge 18 days ago
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AVP, Sr. Credit Underwriter InteliX Systems - New York, NY, United States for consideration and approval. Review loan documents prior to closing to ensure that all documents comply with the credit approval. Interact with Bank attorneys, accountants, and loan brokers, as needed. Provide Yesterday
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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 3 days ago
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Financial Services Compliance & Regulatory Attorney Direct Counsel - New York, NY, United States ., San Francisco or Seattle. Responsibilities: Provide legal counsel on compliance and regulatory issues in the financial services sector Work with registered investment advisors and broker-dealers Yesterday
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Senior AFC & Compliance Officer DWS Group - New York, NY, United States rules, FINRA rules, federal and state securities regulations and other applicable laws. • Provide advice to the marketing review team on the review of broker-dealer and investment advisory materials 3 days ago
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Senior Business Development Manager, Investment Banking Axial - New York, NY, United States on winning new business and growing our existing relationships across the “sell-side” (investment banks, M&A advisors, business brokers, and business owners) and “buy-side” (private equity, family offices 3 days ago
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Junior Investment Professional Prosperity Asset Management - , NY, United States financial models used for investment analysis and reporting Assist in on-going portfolio surveillance and operational needs Assist in developing and maintaining external relationships with broker/dealer 3 days ago
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Swap Dealer Compliance Associate Phaxis - New York, NY, United States Currently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance 6 days ago
Top locations
- Jersey City, NJ (57)
- Greenwich, CT (38)
- Stamford, CT (22)
- Newark, NJ (20)
- Iselin, NJ (19)
- Trenton, NJ (15)
- Secaucus, NJ (13)
- Melville, NY (13)
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