Broker Dealer jobs - New York, NY
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| Dec 25 | Director- Broker Dealer Compliance- Investment Advisor | Accounting Career Network | Manhattan, NY |
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Job Descripton: The key function of Compliance is to work with management to identify and manage regulatory and reputational risk. This includes advising business in relation to... more |
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| Dec 24 | Director- BCI broker dealer policy manager | Barclays Capital | New York, NY |
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reporting submissions to various broker-dealer and banking supervisory authorities ... BCI Broker Dealer Policy support Main Duties Key member of the Broker dealer Policy... more |
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| Dec 24 | BP&A Sr. Group Manager (Director Re-Engineering for Equity Broker-Dealer Operations) | Citigroup | New York, NY |
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for the primary Citigroup Global Markets broker-dealer in the domestic US market and will be a program management position within a global cash securities change program. The... more |
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| Dec 24 | Hedge Fund Accountant | Billion Dollar Hedge Fund | New York, NY |
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accounting experience - hedge fund, broker dealer experienceJob ... reporting for the hedge fund and its broker dealer subsidiaries; also handle the... more |
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| Dec 24 | Institutional Equity Sales Trader | Greenwich, CT | |
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JOB DESCRIPTION Successful 18yr old regional institutional broker/dealer is opening an East Coast office in the Greenwich/Stamford location and is looking to significantly... more |
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| Dec 24 | Compliance Manager I | Bank of New York Mellon | New York, NY |
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will have at least five years experience in broker-dealer Compliance, three or more of which have been dedicated to fixed-income, preferably in a trading floor environment. more |
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| Dec 24 | Senior Compliance Officer-Regulatory | Citigroup | Jersey City, NJ |
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of the Firm conducted by the Firms broker-dealer and banking examiners. QUALIFICATIONS: The qualified candidate will possess: * Experience as a Compliance Manager in the financial... more |
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| Dec 24 | SQL Server Developer | Citigroup | New York, NY |
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market and our client base spans broker/dealers, market makers, banks, hedge ... Science * Experience working for a large broker/dealer or equities execution venue... more |
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| Dec 24 | Corporate Accounting Manager | Leading Securities Firm | Greenwich, CT |
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financial accounting and control for retail broker dealers. This position will require ... Broker Dealer and/or Futures Commissions Merchant experience a plus... more |
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| Dec 24 | Compliance Officer | Global Financial Services Firm | New York, NY |
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a Compliance Officer a (CO) for its New York broker-dealer. As CO, you will work closely with the Chief Compliance Officer to ensure that policies and procedures are in adherence... more |
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| Dec 24 | Senior Branch Examiner | Citigroup | Long Island City, NY |
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of examinations functions and/or overall broker/dealer rules and regulations. Focus on banking and retail brokerage as well as compliance with those business segments should be... more |
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| Dec 24 | Administrative Assistant | Citigroup | New York, NY |
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(FIRM) - Insurance, SPVs, Banks & Broker Dealer and Payment Systems Risk Heads within ICG Risk Management. Some duties are complex and confidential requiring a use of discretion... more |
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| Dec 24 | Senior Branch Examiner | Citigroup | Long Island City, NY |
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of examinations fucntions and/or overall broker/dealer rules and regulations. Focus on banking and retail brokerage as well as compliance with those business segments should be... more |
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| Dec 24 | Market Data Project Manager | RMS Computer | New York, NY |
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including Reuters RSF+, Inter Dealer Broker Feeds including: Cantor Fitzgerald, Garban, Liberty, RMJ, Hill Farber, Patriot, Prebon Yamane, Harlow Butler, GFI, Tullet Tokyo,... more |
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| Dec 23 | Systems Engineer-Broker/Dealer | RMS Computer | New York, NY |
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Our client, a major broker/dealer has an opportunity for a Systems Engineer in NYC. This is a full-time job. Overview of Role As a member of our IT team you will install, deploy,... more |
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| Dec 23 | Systems Engineer-Broker/Dealer | RMS Computer | New York, NY |
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Our client, a major broker/dealer has an opportunity for a Systems Engineer in NYC. This is a full-time job. Overview of Role As a member of our IT team you will install, deploy,... more |
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| Dec 23 | Proprietary Trader - Corporate and Municipal Bond | Fixed Income Broker Dealer | Rockville Centre, NY |
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Proprietary Trader – Corporate and Municipal Bond  We are hiring multiple candidates  Long Island, NY Location  The Proprietary Trader is responsible for research, competitive... more |
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| Dec 23 | AVP - Legal Entity Reporting | Barclays Capital | New York, NY |
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of Barclays Capital Inc (BCI) ? the US Broker Dealer for Barclays Capital and ... Capital Canada Inc (BCCI) ? Canadian Broker Dealer for Barclays Capital. more |
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| Dec 23 | Fixed Income Sales Trader | JPMorgan Chase | New York, NY |
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accounts and executing trades on behalf of broker-dealer, investment managers and plan sponsor clients in support of our existing Fixed Income Execution Solutions business. These... more |
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| Dec 23 | VP - Bank Reporting manager | Barclays Capital | New York, NY |
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periodic reporting submissions to various broker-dealer and banking supervisory authorities in the US. The group performs the following functions: Requisite capital computations... more |
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| Dec 23 | Compliance Manager I | Bank of New York Mellon | New York, NY |
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will have at least five years experience in broker-dealer Compliance, three or more of which have been dedicated to fixed-income, preferably in a trading floor environment. more |
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| Dec 23 | AML Compliance Director | Infinity Consulting Solutions | New York, NY |
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broker/dealer, bank, futures commission merchant) Extensive knowledge of US AML requirements (BSA/USA PATRIOT Act), including industry practices; Canadian requirements helpful. more |
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| Dec 23 | Control Room Analyst | Infinity Consulting Solutions | New York, NY |
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services organization preferably within broker / dealer and/or investment advisor Attention to detail Sound interpersonal skills and relationship building abilities... more |
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| Dec 23 | Fixed Income Sales Trader | J.P. Morgan Chase - Sales, Treasury & Securities Services | New York, NY |
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accounts and executing trades on behalf of broker-dealer, investment managers and plan sponsor clients in support of our existing Fixed Income Execution Solutions business. These... more |
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| Dec 23 | Senior Branch Examiner | Citi | Long Island City, NY |
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of examinations fucntions and/or overall broker/dealer rules and regulations. Focus on banking and retail brokerage as well as compliance with those business segments should be... more |
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