Broker Dealer Jobs in Rockville (MD)
Search jobs in
1 - 10 of 10
Search Results - Broker Dealer Jobs in Rockville (MD)
Eliassen Group-Rockville (MD)-
to varied audiences.
• Experience working with analysts in a research or modeling environment using R and/or Python.
• Banking or broker-dealer product knowledge is a plus.
• Basic business process mapping and requirements gathering skills.
Education...
Read more
Financial Industry Regulatory Authority-Rockville (MD)-
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...
Read more
Equitable Advisors-Columbia (MD), 17 mi from Rockville (MD)-
help you achieve your goals through:
• Our open-architecture platform for client solutions
• Our broker/dealer powered by one of the world’s largest broker/dealers LPL*
• Our elite benefits and wealth-building programs
• Our competitive payouts
• Our...
Read more
Robert Half-Washington, 14 mi from Rockville (MD)-
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...
Read more
TritonPoint Wealth-Chevy Chase (MD), 9 mi from Rockville (MD)-
experience in the financial services industry preferred.
• 1-2+ years of experience working with high net worth individuals, preferably within a Registered Investment Advisor (RIA), investment management firm, or broker/dealer environment.
• Professional...
Read more
Strategy-Tysons Corner, 12 mi from Rockville (MD)-
banking, broker-dealer, investment adviser, or digital-asset/commodities) is welcome
• Exposure to corporate governance and publicly traded company requirements (Securities Act, Exchange Act, Sarbanes-Oxley) preferred
• J.D. from a U.S. accredited law...
Read more
The Tech Recruiters-Washington, 14 mi from Rockville (MD)-
supporting innovative financial products and regulated infrastructure.
• Lead securities law strategy across transfer agency, broker dealer, capital markets, and related activities.
• Advise on novel questions involving onchain securities, equity ownership...
Read more
Selzer Gurvitch Rabin Wertheimer & Polott, P.C.-Bethesda (MD), 6 mi from Rockville (MD)-appcast.io-
to generate one quickly.
• Deep experience in private placements, exempt securities offerings, fund formation, and related corporate/regulatory work; broker-dealer or investment adviser regulatory experience is a plus.
• A track record of self-sufficient...
Read more
OTC Markets Group-Washington, 14 mi from Rockville (MD)-
top broker-dealers to trade over 12,000 securities, from startups to world leading international companies.
/n
/n
Headquartered in New York City, OTC Markets Group also provides the market data, disclosure, and compliance solutions, including Blue...
Read more
RK Partners-Chevy Chase (DC), 9 mi from Rockville (MD)-talentnest.com-
Economics, or a related field preferred.
• 2+ years of experience within the financial services industry working client facing
• Experience supporting high-net-worth clients within an RIA, investment management firm, wealth management practice, or broker...
Read more
Broker Dealer jobs in Rockville (MD) – Similar offers:
Broaden your job search:
Don’t miss out on new job openings!
Create a job alert for: Broker Dealer, Rockville (MD)
It's free, and you can cancel email updates at any time