Broker Dealer Jobs
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Blue Owl Capital Inc.-Short Hills-appcast.io-
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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New York-icims.com-
specifically dedicated to supporting the Chief AML Officer covering the Broker-Dealer (BD) Securities Division. In this role, the AML Advisory Team Lead will be responsible for handing day-to-day coverage associated with the AML Compliance Program (AML Program...
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Blue Owl Capital Inc.-Short Hills-appcast.io-
the team as Managing Director, overseeing Broker-Dealer, Global Marketing and Distribution; reporting into the Head of Distribution Compliance/CCO of Blue Owl’s limited purpose broker dealer. This role will have two direct reports and oversee a team...
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Assistant Director-Compliance (Retirement, Securities Product Underwriting & Securities Wholesale...
Remote-principal.com-
What You'll Do:
We're seeking an Assistant Director – Compliance to join the compliance team supporting Principal Funds Distributor, Inc. (PFD), an asset management mutual fund distributor and limited-purpose broker-dealer, and Principal Securities...
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BNY-Lake Mary (FL)-appcast.io-
in the delivery of complex and challenging global audit assignments, with a primary focus on the Clearing Broker Dealer.
• Drive or participate in all phases of audit project execution including planning, fieldwork, and reporting in accordance with audit...
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US Bank-New York-jobvertise.com-
and governance processes across the enterprise, including affiliates and majority-owned entities. This role provides dedicated audit coverage for Capital Markets and institutional broker-dealer activities, partnering with risk, compliance, operations...
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American Airlines-Fort Worth-appcast.io-
Coordinate with various business units within the Credit Union and Broker Dealer
• Manage member education projects and events, ensuring presentations, materials, and all collaterals are compliance approved and delivered in a timely manner
• Manage compliance...
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Level Four Group-El Paso-
Associate are:
• Work with the Advisor to provide the firm’s stated Client Experience
• Serve as the main contact point for clients and advisor(s) for service needs/questions
• Working directly with custodian(s), Level Four Financial (Broker Dealer...
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Cetera Financial Group, Inc.-Dallas-
meet regulatory and broker-dealer compliance standards.
Responsible for low to mid-level escalations, partnering with the Operations Team Lead and leadership to research, communicate, and resolve issues in a timely manner.
Proactively identify...
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moomoo-Dallas-workable.com-
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...
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Michael Page-Great Neck-michaelpage.com-
About Our Client
Independent broker-dealer located in Great Neck, NY (Long Island)
Job Description
Trade Settlement & Processing
• Verify and process equity trades after execution.
• Match trade details with counterparties.
• Monitor...
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Charlotte-icims.com-
Overview:
WHO are we looking for?
CAPTRUST is seeking a Senior Compliance Manager to join our Compliance Team. The Senior Compliance Manager will be responsible for a variety of key enterprise compliance and broker-dealer supervisory processes...
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1 similar job: Raleigh
Investar Bank National As-Baton Rouge-
statements. Assists with required regulatory reporting.
This role offers exposure to senior management and a variety of external partners, such as correspondent banks, investment broker/dealers and Asset Liability Management modeling vendors.
Job...
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Adecco-Addison (TX)-adecco.com-
the following requirements to be considered:
• Minimum of two years of broker-dealer operations experience with knowledge of operational controls, quality assurance, and trade processing workflows.
• Intermediate Microsoft Excel and Word skills, including...
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RK Partners-Chicago-talentnest.com-
supporting financial advisors within a wealth management, RIA, broker-dealer, or financial planning firm.
• Experience onboarding new investment clients from start to finish.
• Experience processing investment account service requests and account...
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1 similar job: Nashville
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