Broker Dealer Jobs
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InforCapital-Northern (MN)
Blue Owl Capital is hiring a Managing Director to lead compliance for its Americas broker-dealer, distribution and global marketing functions. Based in Short Hills, New Jersey, you will oversee regulatory filings, training, and testing, and partner...
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iCapital Network-Greenwich (CT)
About the RoleiCapital is looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group. This individual supports the Chief Compliance Officer in the oversight...
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1 similar job: New York
InforCapital-Short Hills
Blue Owl Capital is hiring a Managing Director to lead compliance for its Americas broker-dealer, distribution and global marketing functions. Based in Short Hills, New Jersey, you will oversee regulatory filings, training, and testing, and partner...
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Wise-New York
the development, implementation, and ongoing oversight of the broker-dealer compliance program for Wise US Assets Inc., while also supporting broader Assets regulatory and operational readiness across North America. The role will provide strong second line...
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BNY-Lake Mary (FL)
We’re seeking a future team member for the role of Vice President to join our Markets Compliance team, focused on supporting the US Broker Dealer. This role can be based in New York City, Pittsburgh, or Lake Mary, FL.
In this role, you’ll make...
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JP Morgan Chase-New York
Join the NA Broker Dealers and Market Structure Payments Sales team!As a Payments Sales Manager (PSM) Executive Director within the Financial Institutions Group, you will drive new and existing business across the North America Broker Dealers...
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Des Moines
What You'll Do:
This role supports compliance functions of the Principal Securities and Principal Funds Distributor broker dealers by independently conducting regulatory research, interpreting developments, and identifying risk exposures related...
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principal.com -
MassMutual-Springfield (MA)
with data, and finding better ways of doing things, you'll thrive in our dynamic and team-oriented environment.
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The Team
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The Wealth Management Finance team provides accounting and financial support for MassMutual's registered broker-dealers...
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Wellington Management-Boston
our perspectives with those of our clients.About the RolePosition OverviewThe Compliance Analyst will support Wellington Management’s broker dealer compliance program. The Compliance Analyst will be a member of Wellington’s Legal & Compliance...
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InforCapital-Short Hills
broker-dealer, distribution and global marketing functions.
Reporting to the Head of Distribution Compliance/CCO of Blue Owl's limited purpose broker-dealer, this Managing Director will be the senior compliance leader responsible for all regulatory...
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Vanguard-Malvern (PA)
of a registered broker-dealer while working at the intersection of accounting, finance, compliance, and regulatory oversight. You'll play a key role in safeguarding client assets, supporting critical reporting to FINRA and the SEC, partnering with senior business...
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Blue Owl Capital Inc.-Short Hills
Blue Owl Capital Inc. is seeking a Managing Director, Americas' Distribution and Global Marketing to lead the firm's broker-dealer and marketing compliance efforts across North America and Latin America.
You will partner with senior stakeholders...
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appcast.io -
moomoo-Dallas
About Futu US Inc.:
Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU).
Our...
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workable.com -
Vaco LLC-Phoenix
financial reporting for broker-dealer subsidiaries, and collaborating with auditors to ensure compliance. If you have a background in public accounting or financial reporting and are looking to advance your career in a dynamic environment, apply today!
Perks...
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Remote
Overview:
We are looking for an experienced AML Auditor for our leading broker dealer client on a project basis. This role is a fully remote position that is expected to complete in 2 months.
Responsibilities:
• Utilize expert knowledge of BSA...
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talentshift.com -
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