Broker Dealer Operations Jobs in New York, NY

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

from: New York Life Insurance Co - More than 30 days ago

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

from: jobvertise.com - More than 30 days ago

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

from: linkedin.com - 2 days ago

Equitable Advisors - Secaucus, NJ, United States

by one of the world’s largest broker/dealers LPL* Our elite benefits and wealth-building programs Our competitive payouts Our operation and compliance infrastructure support *LPL Financial, member FINRA, SIPC

from: linkedin.com - 6 days ago

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

from: careerbuilder.com - 5 days ago

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

from: linkedin.com - 8 days ago

Equitable Advisors - Secaucus, NJ, United States (+1 location)

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

from: linkedin.com - 8 days ago

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

from: FINRA - 6 days ago

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

from: linkedin.com - 13 days ago

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

from: linkedin.com - 22 days ago