Broker Jobs in Rochester
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JPMorgan Chase & Co.Rochesterappcast.io
J.P. Morgan Securities is looking for an Executive Director NYSE Floor Broker to join its equities trading team on the floor of the New York Stock Exchange (NYSE) and help expand its growing business back to the NYSE floor. This position requires...
4Leaf ServicesRochesterworkable.com
Are you tired of your parent brokerage micro-managing your day, locking you out of accounts due to arbitrary internal "territory conflicts," or nickel-and-diming your commissions with hidden software fees?
4Leaf Services is a brand-new, agile...
Prudential FinancialRochester
As an Experienced Financial Advisor, you will have access to a comprehensive open-architecture investment platform through our broker-dealer, LPL Enterprise , allowing you to leverage a diverse range of investment solutions, (i.e., stocks, bonds, ETFs, mutual funds...
Rochestericims.com
Read, understand and ensure compliance with relevant OPWDD and DOH guidance and ADMs including Community Habilitation, Broker, Respite, SEMP, FI, IDGS, etc.
• Ensure timely and accurate enrollments in Self-Directed Services (CHOICES, eVero).
• Actively...
JPMorgan Chase & Co.Rochesterappcast.io
J.P. Morgan Securities is seeking an Executive Director NYSE Floor Broker to join its equities trading team on the floor of the NYSE, located at 11 Wall Street in lower Manhattan.
The role is execution-oriented and requires daily on-floor presence...
Miller Transportation GroupRochesterworkable.com
the Ford, Lincoln, and Subaru brands.
• Miller Dedicated Services - Supports customers in outsourcing their transportation needs by providing vehicles, drivers, fuel, insurance, and overall industry expertise.
• Miller Brokerage Services - Provides...
The WellRochester
8–10+ years of experience as a financial advisor, with a track record of strong client relationships
• Comfortable operating in a fee-only RIA model—no broker-dealer registrations required
• Series 65 (or equivalent) preferred; if you don't have...
Charles SchwabRochesterappcast.io
and intercompany lending agreements.
• Reviewing Treasury group policies and procedures.
• Advising on margin regulation and related broker dealer regulations.
• Advising on legal and regulatory matters affecting the Treasury Department and keeping management...
KolterhomesRochesterappcast.io
in group broker meetings minimum of once per month
• Review purchase agreements prior to submission
• Manage contingencies
• Communicate effectively with purchasers through the purchase process
• Foster relationships with buyers to increase referral...
JPMorgan Chase & Co.Rochesterappcast.io
equities at a broker-dealer or comparable institution
• Demonstrated track record selling algorithmic trading products and cash execution services to institutional clients
• Active FINRA registrations: SIE, Series 7 and Series 63 (Series 55/57 a plus...
JPMorgan Chase & Co.Rochesterappcast.io
as needed
Required qualifications, capabilities, and skills
• Five plus years of experience in financial services including, but not limited to, financial planning, goals-based investing, financial advisory at a broker-dealer, RIA and/or a private bank...
JPMorgan Chase & Co.Rochesterappcast.io
with regulatory issues relevant to broker-dealers (e.g., SEC and FINRA rules related to communications, filings, document retention requirements, licensing, etc.).
• Familiarity with M&A / Conflicts, including with landmark Delaware case law relating to M&A...
L3Harris TechnologiesRochester
compliance requirements, including import classification, valuation, country of origin, duty treatment, broker coordination, and entry-document review.
• Familiarity with customs audit readiness, recordkeeping obligations, post-entry corrections, free trade...
Glazer PropertiesRochester
on professional development through strategic business opportunities. More specifically, the responsibilities may include, but not limited to:
• Establish and foster relationships with the brokerage community in primary markets
• From these relationships, source...
Centene Management Company LLCRochesterappcast.io
with business, operations, and customer experience leaders to deliver seamless omnichannel experiences that improve access, satisfaction, service efficiency, and process simplification for members, providers, brokers, and associates.
Ensures Centene's telephony...
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