Broker Dealer Jobs in Buffalo
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Search Results - Broker Dealer Jobs in Buffalo
Global Trading Systems-Buffalo
borrow and liquidity considerations.
• Design and execute hedging strategies - using equities, ETFs and options while managing positions within established firm risk and capital limits.
• Build relationships with institutional, broker-dealer and wealth...
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Robert Half-Buffalo
regulatory exposure while enabling growth
Key requirements
• Active FINRA registrations: Series 24, Series 7, and Series 63/65/66
• Broker-dealer or wealth management compliance experience focused on advisor communications and social media supervision under...
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Lloyds Bank-Buffalo
a comprehensive range of core banking products, including lending, trade finance, and working capital solutions, alongside debt capital and financial markets services through our U.S. broker‑dealer, Lloyds Securities Inc.
Our commitment to inclusion
At Lloyds...
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KForce-Buffalo
roles in the financial industry (preferably in the RIA space)
• Approximately 10-20% travel for client onboarding, leadership meetings, planning, and industry events
• Success in navigating complex RIA, broker-dealer, custodial, and technology...
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LPL Financial LLC-Buffalo
EAC 5.19.26 LPL Financial is the nation’s largest independent broker-dealer.* Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals. To understand who we are, it’s...
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Green Key Resources-Buffalo
audits and regulatory exams. The role offers remote work with occasional client travel and a path to FINRA licensing. You’ll work with broker-dealers, investment advisers, and funds to strengthen financial controls and analysis.
Compensation / Benefits...
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LPL Financial LLC-Buffalo
oriented teams.
• Strong working knowledge of the legal standards and regulatory frameworks applicable to retail financial services, including broker-dealer, RIA, banking and lending, and financial product activities.
• Deep familiarity with brokerage...
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Williamsville (NY), 9 mi from Buffalo
a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI.
• Individuals...
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icims.com -
6750 BBPLC NY Branch-Niagara Falls, 16 mi from Buffalo
Job Description Purpose of the role
The Commercialization Director will provide strategic and commercial leadership across the Financial Institutions franchise, covering banks, broker-dealers, FinTechs and regulated payment companies. Reporting...
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