22 Broker Dealer Operations Jobs in Secaucus, NJ - page 2
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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 12 days ago
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Manager, Compliance Testing Scotiabank - New York City, NY, US to all of Scotiabank’s U.S. broker-dealer (including internal inspections), banking, swap dealer, futures commission merchant, investment management activities, corporate functions, cross-border testing engagements 10 days ago
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Chief Compliance Officer, Registered Investment Advisor - Senior Compliance Advisor Société Générale - , NY, United States banking, investment banking and broker–dealer activities across Société Générale’s operations, reporting on the compliance risks and issues to local, regional, and head office management. The staff provide 7 days ago
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EVP, Finance Career Group - New York, NY, United States EVP, Finance A leading self-clearing proprietary broker-dealer, is seeking an EVP of Finance to oversee the self-clearing brokerage operations, related affiliates and serve as a member 14 days ago
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Senior Manager, Compliance Testing Scotiabank - New York City, NY, US and procedures. The U.S. Compliance Testing Program covers U.S. regulations applicable to all of Scotiabank’s U.S. broker-dealer, banking, investment management activities, corporate functions, and other financial 10 days ago
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Managing Director, Investment Banking - Capital Raise for Consulting Services Startup Synergy Management Group - New York, United States and efficient angel/seed-stage capital raise and are seeking an experienced Investment Banker with active broker-dealer licenses to lead this initiative. Responsibilities: Develop and refine comprehensive 5 days ago
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Investment Bank Compliance - Control Room Larson Maddox - New York, United States -dealer activities across US operations, reporting on the compliance risks and issues to local, regional, and head office management. The staff provide the business lines with guidance on relevant laws USD11000 - USD160000 per annum 18 days ago
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Executive Vice President, Finance Hold Brothers - New York, NY Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking an EVP of Finance & Operations to oversee the self-clearing brokerage operations, related affiliates 200,000 - 240,000 More than 30 days ago
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Assistant General Counsel, Broker-Dealer Attorney New York Life Insurance Co - New York, NY, US -dealer issues, including supervision, sales practices, conflicts of interest, registration, operations, and compliance Collaborate with business, compliance and legal teams to ensure compliance More than 30 days ago
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Financial Crimes Technology - Operations and Technology Manager PwC - New York, NY, US banking, broker dealers) and transactional flows; Common and emerging issues impacting Financial Services clients Knowledge of data analytics and risk modelling as it relates to AML/BSA and OFAC solutions More than 30 days ago
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