Broker Dealer Jobs in Stamford
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Search Results - Broker Dealer Jobs in Stamford
Clinton Investment Management, LLC-Stamford
The Role:
Due to a rapid growth trajectory, CIM is seeking a Head of National/Key Accounts to expand and support CIM’s brand presence and awareness across the broker/dealer, RIA, bank, trust company and family office distribution channels, throughout...
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Atlantic Group-Stamford
or other related discipline
• 2-6 years of relevant work experience with a financial institution such as a broker/dealer, consulting firm, registered investment adviser, regulatory agency, or other financial institution
• Prior experience...
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BestEx Research-Stamford
Experience advising broker-dealer or buy-side entities
• Experience in the electronic/algorithmic trading sector
• Strong familiarity with SEC, FINRA, CFTC, and NFA rules
• International experience a plus (UK FCA and Singapore MAS, EMEA & APAC markets)
• Deep...
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workable.com -
Atlantic Group-Stamford
related discipline
• 2-6 years of relevant work experience with a financial institution such as a broker/dealer, consulting firm, registered investment adviser, regulatory agency, or other financial institution
• Prior experience with the Investment...
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Optima Partners-New York, 34 mi from Stamford
banks and broker-dealers.
Considered Candidates Will:
• Support a large portfolio of clients as the primary day-to-day oversight resource
• Have familiarity for practical compliance and regulatory matters relating to SEC (e.g., Advisers Act)
• CFTC...
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BNY-New York, 34 mi from Stamford
Markets Broker Dealer Finance team, specifically SVP in Broker- Dealer Regulatory Reporting with series 27 license. The candidate will be part of an 8 person Capital Markets Broker-Dealer Finance team with a leadership role in monitoring regulatory...
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Fernridge Group-New York, 34 mi from Stamford
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...
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Toss Securities US LLC-New York, 34 mi from Stamford
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...
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Jobs-Manhattan (NY), 32 mi from Stamford
top 2 global investment bank, is seeking a Senior Accountant in one of its broker dealer businesses.
Their office and global headquarters is located in midtown New York, NY.
The work schedule is 3/2 or 4/1 hybrid.
Summary: Responsibilities...
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jobvertise.com -
LGBT Great-New York, 34 mi from Stamford
A leading investment management firm in New York is seeking a Senior Vice President of Legal and Compliance. This role involves ensuring legal support for fund distribution and managing compliance for broker-dealer. Candidates should have a J.D...
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appcast.io -
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