Broker Dealer Jobs in New York
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Search Results - Broker Dealer Jobs in New York
New York
Overview:
We are seeking a Staff Accountant with 1–4 years of experience to support monthly close, reconciliations, and audit activities within a regulated financial services environment on a contract basis. This is a 5 day onsite role in the...
talentshift.com -
BNY-New York
dealers, with a focus on financing risk and Broker dealer financing / Prime Brokerage. The role requires strong analytical skills to evaluate portfolios and risk metrics, strong communication skills to drive clear decisions and stakeholder alignment...
Wall Street Alliance Group-New York
processing lifecycle.
• Platform Mastery: Understanding of the broader Broker-Dealer/RIA landscape (e.g., Schwab, NFS) and how to resolve NIGO issues independently is a major plus.
• The "Error Anticipator": You look three steps ahead to prevent mistakes...
Open Systems Technologies-New York
of trade allocations, affirmations, and institutional custody workflows
• Ability to work in a fast-paced trading and clearing environment
• Strong analytical, organizational, and problem-solving skills
Preferred
• Experience working at a broker-dealer...
Michael Page-New York
and broker-dealer compliance.
• Proven stakeholder management across cross-functional teams.
• Highly structured thinker with strong problem-solving ability.
• Comfortable working under pressure in fast-paced environments.
What's on Offer
• Competitive...
michaelpage.com -
Fernridge Group-New York
3–5 years of compliance or related experience at an RIA or broker-dealer preferred
• Working knowledge of compliance testing and SEC regulatory requirements
• Familiarity with SEC Rule 206(4)-7 and SEC/FINRA marketing rules strongly preferred...
Amazon-New York
quantitative trading firms, and broker-dealers as they modernize their research and analytics capabilities on AWS.
In this role, you will serve as a core technical leader on the Capital Markets Industry Specialist team, working directly with quantitative hedge...
amazon.jobs -
Wall Street Alliance Group-New York
processing lifecycle.
• Platform Mastery: Understanding of the broader Broker-Dealer/RIA landscape (e.g., Schwab, NFS) and how to resolve NIGO issues independently is a major plus.
• The "Error Anticipator": You look three steps ahead to prevent mistakes...
New York
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...
icims.com -
Toss Securities US LLC-New York
Toss Securities US LLC (TSUS), a U.S. broker-dealer affiliate of Toss Securities, recognized as one of the fastest growing brokerages in Korea and a leading firm in overseas stock commission revenue, has recently opened its New York office as part...
Beacon Pointe Advisors LLC-New York
networking, and strategic outreach
Qualifications
• 5+ years of experience as a Financial Advisor or Wealth Advisor
• Proven track record of client acquisition and asset growth
• Background in a wirehouse, independent broker-dealer, bank, or RIA environment...
primepay-recruit.com -
New York
as to meet strategic and commercial business goals by expanding the product platform to key onshore and international markets, both broker dealer/RIA and family office focused, maintaining and enhancing end to end product delivery processes...
tiptopjob.com -
FutureSight-New York
The Opportunity
Compliance at U.S. RIAs, broker-dealers, and wealth fintechs still runs largely on manual review — analysts reading marketing materials line by line, scanning communications for keywords, and reviewing trades and trade requests...
workable.com -
National Digital Trust Company (In Organization)-New York
or a related discipline.
• Experience: Minimum 8–12 years of progressive experience in operational risk, business controls, internal controls, internal audit, or regulatory compliance within a bank, broker-dealer, fintech, or digital-asset firm; at least 3...
trinethire.com -
New York
and financial markets services through our U.S. broker‑dealer, Lloyds Securities Inc.
Our commitment to inclusion
At Lloyds, diversity and inclusion are core to who we are. We are committed to attracting, retaining, and developing the best talent and creating...
icims.com -
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