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Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
Full-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Experience managing operations at a self-clearing broker-dealer that provides trade, clearing, and custody services to introducing broker-dealers. We are currently going through the application process with FINRA to become a licensed clearing broker-dealer and we expect to commence operations in 2024.
Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. Do you want to learn and grow at a Fortune 500 firm, the nation’s largest broker-dealer, and third largest RIA custodian.
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Top 5 Independent Broker Dealer by Financial Advisor magazine and InvestmentNews (2020) Comprehensive Planning Analysis tools, brokerage and advisory platforms, as well as wealth management.
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B. Riley operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction and liquidation services.
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Business acumen in broker/dealer back-office operations or related field is highly desirable. Expert operational knowledge, preferably in New Accounts operations including Advisory, Brokerage and Direct Business areas.
Full-timeExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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A Midsize, full-service Broker-Dealer, providing financial products and services to clients is currently conducting interviews to fill an Operations Associate position to work in the Back Office.
Full-timeExpandApply NowActive JobUpdated 19 days ago - UpvoteDownvoteShare Job
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Have previous broker-dealer experience• Possess a current License; ex: Series 7, 24, 65, 99, etc. Establishing oneself as the primary point of contact for advisors’ clients, providing comprehensive guidance throughout their journey, assuming responsibility from inception to successful resolution• Proficiently addressing queries regarding brokerage operations, advisory accounts, and direct business, spanning from assisting with new account setup to managing transactions and servicing requirements.
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Oppenheimer & Co. Inc. (Oppenheimer) is a leading middle-market investment bank and full service broker-dealer. Brokerage operations experience. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.
ExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Knowledge of broker dealer operations including, but not limited to, order/trade execution, data enrichment activities, settlement processing, client and asset servicing, corporate actions, custody, and accounting/records management.
Full-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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5+ years experience in the financial investment services industry, preferably with an RIA or Broker-Dealer in the capacity of operations such as New Account setup, Asset Movement, Advisory Proposal Generation / Review.
Full-timeExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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Marketplace and brokerage services provided by Acervus Securities, Inc., an SEC registered broker‑dealer and member FINRA / SIPC. Support Navigator team’s day-to-day operations, including helping with data aggregation, internal and external support, and bug triage.
$25 - $39 an hourFull-timeExpandApply NowActive JobUpdated 20 days ago - UpvoteDownvoteShare Job
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The ideal candidate will be a self-starter who is detail oriented and has retail or institutional broker dealer experience. One to five years of experience in the brokerage industry and/or previous Compliance experience.
Full-timeExpandUpdated 13 days ago - UpvoteDownvoteShare Job
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The FMR LLC Legal Department has a unique opportunity for an innovative attorney to join our Wealth and Brokerage legal team as Legal Counsel, Broker-Dealer Regulation. You will support ongoing broker-dealer operations, providing analysis of applicable financial services related-law, rules, and regulations, including FINRA Rules, Securities Exchange Act of 1934, and Regulation Best Interest.
$218,000 a yearFull-timeExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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Basic knowledge of Broker-Dealer and/or Advisory operations. Bachelor’s Degree strongly preferred with 3-5 years in a broker/dealer, RIA Back Office. Experience in brokerage or custodial technology, Docusign and Salesforce CRM a plus.
Full-timeExpandApply NowActive JobUpdated 14 days ago
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