Broker Dealer Jobs
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Search Results - Broker Dealer Jobs
Kybora GmbH-West Palm Beach
are seeking an experienced Managing Director to lead our FINRA-registered broker-dealer unit focused on the biopharmaceutical sector. As a senior executive in our boutique investment bank, the Managing Director will drive deal origination and execution...
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appcast.io -
Alexander Chapman-Washington
Job Description
I’m currently partnering with a leading financial services organisation seeking a Senior Counsel to support its broker-dealer and registered investment advisory platform. This role will serve as a key legal advisor across...
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Horace Mann-United States
Job Title: Regional Supervisory Principal – Broker-Dealer
Location: Remote
Position Summary
The Regional Supervisory Principal is responsible for the oversight and supervision of registered representatives and investment adviser representatives...
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Clinton Investment Management, LLC-Stamford
and investors.
The Role:
Due to a rapid growth trajectory, CIM is seeking a Head of National/Key Accounts to expand and support CIM’s brand presence and awareness across the broker/dealer, RIA, bank, trust company and family office distribution channels...
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BNY-New York
Markets Broker Dealer Finance team, specifically SVP in Broker- Dealer Regulatory Reporting with series 27 license. The candidate will be part of an 8 person Capital Markets Broker-Dealer Finance team with a leadership role in monitoring regulatory...
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Talently-Wheaton (IL)
Offerings, FINRA, Broker Dealer, Fund Compliance, Investor Advisor compliance, Alternative Investments.
We are a trusted Financial Services company that needs an exceptional Assistant General Counsel to join our elite legal team. If you have 5+ years...
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Goodwin Recruiting-New York
Controller
Self-Clearing Broker-Dealer
Position Overview
The Controller will lead all accounting, financial reporting, and internal control functions for a self-clearing broker-dealer. This role partners closely with the FINOP and executive...
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BBVA-Houston
includes a New York-based broker-dealer and a U.S. branch of our parent company, BBVA, S.A. (Spain), through which we conduct Global Markets, Global Transactional Banking, and Investment Banking & Finance activities for U.S. and international corporate...
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Alexander Chapman-Washington
I’m currently partnering with a leading financial services organisation seeking a Senior Counsel to support its broker-dealer and registered investment advisory platform. This role will serve as a key legal advisor across the business, providing...
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Denver
Manages territory to maximize sales with the efficient use of agreed upon expenses. Budgets estimated sales and client support expenses on an annual basis. Submit expense reports weekly.
• Calls on reps with associated broker-dealers and financial...
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icims.com -
McCormack Schreiber Legal Search-Waukegan
broker-dealer or comparable regulated platform strongly preferred
• Big Law structured finance background a plus
Location:
Chicago, IL or Remote
Compensation:
The anticipated base salary range for this position is $180,000 - $250,000 (plus bonus...
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Arena Investors I Quaestor Advisors-New York
at a bank, broker dealer or investment firm (internship experience included).
• Excellent Microsoft Excel (VBA a plus) and writing skills.
• Experience with financial modeling and transaction structuring / closing is a plus.
• The highest level of personal...
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resume-library.com -
Michael Page-New York
About Our Client
A global financial institution is seeking an AVP to join its Credit Risk team, focusing on hedge fund counterparty risk and broker‑dealer credit exposures.
Job Description
Key Responsibilities
• Conduct credit due diligence...
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michaelpage.com -
Kestra Financial Independent Advisor-Washington (NC)
plays a critical role during the firm’s transition from broker-dealer affiliation to independent private practice. This position serves as the operational backbone of the firm during a high-volume, deadline-driven transition period.
The primary...
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resume-library.com -
Kestra Financial Independent Advisor-San Antonio
to problem-solving.
Education & Experience
• Bachelor’s degree in a business-related field preferred.
• 5+ years of experience in financial services, with a solid understanding of broker-dealer operations and investment products (equities, bonds, options...
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resume-library.com -
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