Broker Dealer Jobs in Philadelphia
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Search Results - Broker Dealer Jobs in Philadelphia
DechertPhiladelphia
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...
Philadelphiaicims.com
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...
Financial Industry Regulatory AuthorityPhiladelphia
as Associate Principal Analyst
• ability to work independently and in groups
• strong analytic and organizational skills
• excellent oral and written communication
• knowledge of securities and broker-dealer services and marketing methods
• in-depth knowledge...
LHHPennington (NJ), 41 mi from Philadelphia
discrepancies, and maintain accuracy
• Relevant coursework in finance is a plus
• Experience with a broker-dealer or financial advisory team is preferred
• Strong organizational skills, a collaborative mindset, and the ability to work in a fast-paced environment...
DechertPhiladelphia
and global asset management
• Assist with cross-border registration, regulatory examinations, and enforcement issues
• Address broker-dealer matters and regulatory concerns in digital assets and blockchain
• Provide strategic regulatory guidance to a varied...
Disability SolutionsCherry Hill (NJ), 14 mi from Philadelphia
Required)
Certifications
Series 7 and 63/65 combo or 66 securities licenses and State insurance licenses. (Required)
Must be able to be affiliated with our Broker Dealer. (Required)
Other Duties as Assigned by Manager
This role may perform other job...
KForcePhiladelphia
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...
Disability SolutionsSwedesboro, 8 mi from Philadelphia
Security Industry Essentials), Series 7, Series 63 (or Series 66). (Required)
Must be able to be affiliated with our Broker Dealer. (Required)
Knowledge, Skills, and Abilities
• Knowledge of investment industry terminology. (Required)
• Knowledge...
Financial Industry Regulatory AuthorityPhiladelphia
of experience, or equivalent combination
• Advanced degree in intelligence studies, public policy, business, or law preferred
• Experience in broker-dealer or financial institution context or government agency with focus on intelligence preferred
• Proven...
Green Key ResourcesPhiladelphia
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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