Broker Dealer Jobs in New York State

1 - 15 of 30

Search Results - Broker Dealer Jobs in New York State

New Business Consultant

placeMelville (NY)languageprincipal.comevent_availableyesterday

requests with broker-dealer, and serving as a point of contact between financial professionals, product partners, and custodians. Here are a few examples of the kinds of things you’ll do: • Provide training to financial professionals for new business...

Director, Managing Counsel (FIEQ)

apartmentBNYplaceNew Yorkevent_available2 days ago

with our business partners involved in an array of broker-dealer and bank services including institutional trading of equity and fixed income securities, originations of equity and fixed income instruments, ETFs, and municipal securities offerings...

AML Advisory Team Lead - Broker-Dealer Securities Division

placeNew Yorklanguageicims.comevent_available3 weeks ago

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...

Regulatory Reporting Associate

apartmentMichael PageplaceNew Yorklanguagemichaelpage.comevent_available1 week ago

About Our Client Investment bank and full service broker-dealer Job Description • Prepare and submit regulatory reports in compliance with industry standards and deadlines. • Analyze financial data and ensure its accuracy for reporting purposes...

Compliance Officer - Marketing

placeNew Yorklanguagesig.comevent_available1 week ago

and internal policies What we’re looking for: • 6 or more years of compliance experience at a broker dealer, asset manager, or financial services firm with a focus on marketing compliance and broader regulatory compliance functions • Strong working knowledge...

Director of Operations

apartmentMichael PageplaceNew Yorklanguagemichaelpage.comevent_available5 days ago

broker-dealer operations, or securities infrastructure environments. • Deep understanding of trade lifecycle management across equities and fixed income products. • Experience overseeing trade capture, settlements, clearing, client onboarding, KYC...

Assistant Vice President, Debt Capital Markets-North America

placeNew Yorklanguageicims.comevent_availableyesterday

solutions, alongside debt capital 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...

Support Lead, Trading Platforms

apartmentValstroplaceNew Yorklanguageworkable.comevent_availableyesterday

for supporting mission-critical trading workflows used by broker-dealers and capital markets firms. Success in this role requires strong problem-solving skills, the ability to operate calmly during production incidents, and an interest in trading systems...

Managing Director, MBS Portfolio Manager, Chief Investment Office (CIO)

apartmentPNC Financial Services Group, Inc.placeNew Yorklanguageappcast.ioevent_available2 days ago

and utilization of management reports to help the group meet their goals and directives. Interacts with internal/external service partners, including broker dealers and/or analytics providers, and leverages their knowledge.* Develops and oversees...

Operations Associate

apartmentMichael PageplaceGreat Necklanguagemichaelpage.comevent_available1 week ago

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...

Financial Advisor

placeCedarhurst (NY)languageicims.comevent_available4 days ago

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...

Chief Financial Officer / Financial Operations Principal

apartmentHold BrothersplaceNew Yorklanguageworkable.comevent_available4 weeks ago

Job Summary Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking a CFO/FINOP to be responsible for our Accounting and Regulatory Filing functions. Reporting to the CEO, this role is responsible for hands-on day...

Compliance Associate

apartmentMichael PageplaceNew Yorklanguagemichaelpage.comevent_available2 weeks ago

processes, including the preparation, review, and submission of required forms and disclosures. • Assist with maintaining broker-dealer registrations and associated regulatory records. • Coordinate registration-related activities, licensing requirements...

1 similar job: International

Product & Technical Co-founder (CPTO) - AI Compliance Platform

apartmentFutureSightplaceNew Yorklanguageworkable.comevent_available1 week ago

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...

Asset Mgmt Associate (Wealth) (Hybrid)

placeNew Yorklanguageicims.comevent_available1 month ago

Asset Managers, Vendors, and MMLISI (broker-dealer) during the new account onboarding process. • Acts as liaison between Asset Managers and other business partners and subsidiaries to ensure that high quality and comprehensive client service is provided...