Latest Broker Dealer Operations jobs in Stamford, CT

11 Broker Dealer Operations Jobs in Stamford, CT

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 6 days ago
Liquidity Risk Management New York, NY, United States 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 entities. • Monitor 7 days ago
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 27 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 15 days ago
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Treasury Intraday Liquidity Management (Forecasting and Analytics) - Sr. Associate 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 6 days ago
Alternatives Account Senior Associate PIMCO - New York, United States with major intermediaries such as wirehouses, private banks and independent broker-dealers. Contacts include research and diligence professionals, product management, business personnel, and operations staff Competitive 8 days ago
Control Room / Research Compliance - Investment Bank 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 15 days ago
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
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
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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