Broker Dealer Operations Jobs
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Search Results - Broker Dealer Operations Jobs
Phillip Capital Inc.-Chicago
We’re Hiring – Broker Dealer Operations professionals – all levels - Associate up to Manager!
Location: Chicago, IL (Hybrid)
Phillip Capital Inc., located in Chicago, is dually registered with the SEC/FINRA as a self-clearing broker dealer...
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Michael Page-Miami
About Our Client
Wealth management firm and brojker-dealer located in Brickell.
Job Description
Operational Leadership
• Oversee all aspects of broker-dealer operations, ensuring the accurate and timely execution of operational activities...
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michaelpage.com -
Leeds Professional Resources-Miami
We are seeking an experienced, detail-oriented Operations Manager to oversee the day-to-day operations of our broker-dealer business. This individual will play a key role in ensuring operational efficiency, regulatory compliance, and exceptional...
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Howard-Sloan Search-Chicago
Coordinate internal audits and respond to regulatory inquiries and examinations
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• Support the regulatory financial accounting team
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Qualifications
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• Active FINRA Series 7, 63, and 24 licenses
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• 5+ years of institutional broker-dealer...
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Ascendo Resources-Miami
role requiring strong broker-dealer operations experience, regulatory knowledge, and team management capabilities.
Key Responsibilities:
• Lead daily operations, including account opening, maintenance, asset transfers, and client servicing.
• Review...
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Pittsburgh
requirements set forth by state and federal securities regulators. Work with Broker Dealer Operations and Compliance to research, respond and settle formal customer complaints.
• Assist in the scheduling, preparation, and follow-up of annual visits...
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principal.com -
Leeds Professional Resources-Miami
We are seeking an experienced, detail-oriented Operations Manager to oversee the day-to-day operations of our broker-dealer business. This individual will play a key role in ensuring operational efficiency, regulatory compliance, and exceptional...
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Chicago
and client experience through timely execution and problem resolution.
This position directly supports financial advisors operating through LPL Financial and requires a strong understanding of broker-dealer operations, advisor support, and wealth management...
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icims.com -
NH Investment & Securities America-New York
applications.
• Self-motivated, organized, and adaptable, with a willingness to support a broad range of firmwide functions and initiatives.
• Interest in developing a deeper understanding of financial markets, broker-dealer operations, and the securities...
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AtomicVest Inc.-New York
AtomicVest Inc. is seeking a Principal Operations Officer to lead the day-to-day broker-dealer operations behind our self-clearing platform.
This hands-on role combines strategic design with supervisory leadership to ensure accurate trade...
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appcast.io -
Amerant Bank NA-Coral Gables
The candidate will oversee enterprise investment platform governance, broker-dealer operations, trust administration, and product development, aligning wealth initiatives with the Bank's overall strategy.
#J-18808-Ljbffr...
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appcast.io -
AtomicVest Inc.-San Francisco
designated operations principal.
This position will be reporting to the Head of Brokerage Operations, with direct responsibility for the day-to-day operations behind the broker-dealer's books and records: trade settlement, clearing, corporate actions...
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appcast.io -
Howard-Sloan Search-Chicago
and examinations
• Support the regulatory financial accounting team
Qualifications
• Active FINRA Series 7, 63, and 24 licenses
• 5+ years of institutional broker-dealer operations and supervisory experience, or experience at a regulatory or self-regulatory...
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Leeds Professional Resources-Miami
communication.
• Experience in a broker-dealer, securities supervision, brokerage operations, or a compliance-related role.
• Strong understanding of FINRA rules, SEC regulations, securities industry practices, and supervisory responsibilities.
• Excellent...
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Coastal Management Solutions-Charlotte
field preferred
• •Previous experience in financial services, wealth management, banking, broker/dealer operations, or an RIA environment preferred
• •Familiarity with account opening procedures, account maintenance, asset transfers, and money movement...
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