21 Broker Dealer Operations Jobs in White Plains, NY - page 2
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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 23 days ago
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Associate 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 5 days ago
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Financial Services Professional 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 12 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 21 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 13 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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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 25 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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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 4 days ago
Top locations
- New York, NY (20)
- Secaucus, NJ (8)
- Jersey City, NJ (5)
- Wappingers Falls, NY (2)
- Stamford, CT (1)
- Milford, CT (1)
- New York (32)