Broker Dealer Operations Jobs in Stamford, CT

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

from: linkedin.com - 22 days ago

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

from: linkedin.com - 6 days ago

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

from: zoho.eu - 4 days ago

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

from: linkedin.com - 8 days ago

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

from: Scotiabank - 4 days ago

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

from: Scotiabank - 4 days ago

Ventures Unlimited - New York City, NY

, Word, PowerPoint. Understanding of Custody services and Broker-Dealer Operations. Knowledge of SWIFT standards and working in Industry leading platforms like Broadridge (or Similar). This is for self Depends on Experience

from: Dice.com - 8 days ago

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

from: efinancialcareers.com - 12 days ago

Mizuho Bank - New York, NY

, committees and areas * Strong knowledge and experience of regulatory change management * Strong knowledge of capital markets and broker dealer framework * Understanding of risk, finance, operations, and data

from: Mizuho Bank - 10 days ago

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

from: efinancialcareers.com - 24 days ago