Broker Dealer Jobs in Pennsylvania
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Search Results - Broker Dealer Jobs in Pennsylvania
Dechert-Philadelphia
Responsibilities
• Advise on fund structures and regulatory matters for a diverse client base
• Handle cross-border registration and regulatory examinations
• Address enforcement, broker-dealer issues, and commodities/derivatives regulation
• Advise on blockchain...
Hunter Associates-Pittsburgh
ABOUT HUNTER ASSOCIATES
Hunter Associates is a Pittsburgh-based wealth management firm that has been serving clients since 1992. We are both a registered broker-dealer and an SEC-registered investment adviser, and we use Pershing and Schwab as our...
Vanguard-West Chester (PA)
competitive intelligence to home office implementations on broker/dealer and bank SMA platforms. You will own sales reporting and guide data-driven decisions to support growth and client outcomes. You’ll leverage investment expertise to refine direct...
Hunter Associates-Pittsburgh
Job Description
ABOUT HUNTER ASSOCIATES
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Hunter Associates is a Pittsburgh-based wealth management firm that has been serving clients since 1992. We are both a registered broker-dealer and an SEC-registered investment adviser, and we use...
Vanguard-Malvern (PA)
competitive intelligence to home office implementations on broker/dealer and bank SMA platforms. You will own sales reporting and guide data-driven decisions to support growth and client outcomes. You’ll leverage investment expertise to refine direct...
NewEdge Capital Group-Pittsburgh
their affiliated broker-dealer, NewEdge Securities, LLC. NECG provides the technology, compliance infrastructure, and operating platform that let advisors serve clients and grow, and it is one of the fastest-growing platforms in the wealth management space...
JWM Wealth Management-Lancaster (PA)
strategies. JWM Wealth Management partners with Cetera Advisor Networks LLC, a FINRA/SIPC member broker-dealer and registered investment adviser, to provide compliant, high-standard securities and advisory services, while remaining independently owned...
Duncan Financial Group-Irwin (PA)
/Account Implementation
• Creates client contact records in CRM and at broker dealer
• Prepares new client/account paperwork for broker dealer and vendors
• Follows up with client/advisor to complete missing information as needed
• Monitors trade review...
NewEdge Capital Group LLC-Pittsburgh
advisor teams — alongside their affiliated broker-dealer, NewEdge Securities, LLC. NECG provides the technology, compliance infrastructure, and operating platform that let advisors serve clients and grow, and it is one of the fastest-growing platforms...
Cetera Financial Group-Pittsburgh
Please Note: This opportunity is not a direct position with Cetera Financial Group. Accepted applicants will become affiliated with Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors), a broker-dealer...
JWM Wealth Management-Lancaster (PA)
LLC, a FINRA/SIPC member broker-dealer and registered investment adviser, to provide compliant, high-standard securities and advisory services, while remaining independently owned and operated. The mission centers on empowering clients...
Bala Cynwyd
controls
• Support regulatory exams, inquiries, and audits
What we’re looking for:
• 3 to 5 years of compliance experience within financial services, ideally within a trading firm, broker-dealer, or asset manager
• Experience with regulatory reporting...
sig.com -
JWM Wealth Management-Lancaster (PA)
LLC, a FINRA/SIPC member broker-dealer and registered investment adviser, to provide compliant, high-standard securities and advisory services, while remaining independently owned and operated. The mission centers on empowering clients...
Sterling Trading Tech-United
and encourage open communications and upward feedback. Our US & International client base includes professional traders, broker dealers, hedge funds, clearing firms, and sell side and buy-side firms trading multi-asset including US Equities, Options and Futures...
KForce-York (PA)
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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