Latest Broker Dealer Operations jobs in Stamford, CT (page 2)

16 Broker Dealer Operations Jobs in Stamford, CT - page 2

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 17 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
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 29 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
Securities Regulatory Compliance Analyst Adecco USA - New York, NY ? If so, then this Client Asset Control Group (CACG) SME role at Adecco is the perfect opportunity for you! In this critical role, you'll be the go-to expert on SEA Rule 15c3-3, ensuring our broker-dealer operations adhere $46.18 - $50.81/Hour 8 days ago

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