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We are a SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA). We continue to expand its high-profile Taxable Fixed Income new issue, sales and trading business, especially in Securitized Products.
$200,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Develop new business and onboard new clients; focused on broker dealer / RIA segment. Cross Asset Sales for Structured Products and OTC derivatives to retail and institutional clients (private banks, wealth managers, registered investment advisors.
$300,000 a yearFull-timeExpandApply NowActive JobUpdated 28 days ago - UpvoteDownvoteShare Job
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In this role, you will manage a team of external wholesalers in an effort to build relationships with top financial advisors in the Broker Dealer Channel as well as provide valuable client solutions to assist advisors in growing their business using State Street's investment products.
$210,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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The Sales and Marketing Compliance Analyst will support Wellington Management’s sales and marketing compliance program, with a particular focus on our broker-dealer, Wellington Funds Distributors (WFD.
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Cetera is nationally recognized as a self-clearing broker-dealer, registered investment adviser, and insurance agency serving the clients of nearly 500 institutions with assets ranging from $15 million to $13 billion nationwide.
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We are now looking for a Senior Business Analyst to strengthen the Product Management team in New York. You will be responsible for driving the analysis of various Broker-Dealer regulatory requirements and supporting members as part of the Nasdaq Regulatory Reporting FinTech team.
$136,400 a yearFull-timeExpandApply NowActive JobUpdated 28 days ago - UpvoteDownvoteShare Job
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Founded in 1963, William O'Neil Securities (ONS) is a Broker/Dealer providing trading services to institutional clients, including pension funds, mutual funds, hedge funds, insurance companies, and corporations.
Full-timeExpandApply NowActive JobUpdated 29 days ago - UpvoteDownvoteShare Job
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Manage broker-dealer related matters working with the sales team & Prudential’s broker-dealer. Develop and effectively administer a compliance monitoring program including, but not limited to, portfolio reviews, anti-money laundering, client documentation, gift and entertainment reporting, FCPA reporting, new account reviews, conflict mitigation, etc.
$172,300 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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This role requires comprehensive knowledge of alternative investment products, outstanding sales expertise, and the ability to establish and maintain strong client relationships within a broker-dealer environment.
Full-timeRemoteExpandApply NowActive JobUpdated 30 days ago - UpvoteDownvoteShare Job
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Bachelor's Degree in Business or related field and 7-10 years of experience in financial services industry, product management or product development in securities operations or broker-dealer operations.
Full-timeExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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Responsible for providing regulatory and compliance advice to business units, identify and provide training and conduct monitoring of the broker dealers public side sales and trading groups with a focus on all Fixed Income activities including Primary Dealer and fixed income futures activity.
$250,000 a yearFull-timeExpandApply NowActive JobUpdated 30 days ago - UpvoteDownvoteShare Job
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Reporting to the CEO, you will oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring, and AML compliance.
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Proven analytical skills, understanding and demonstrated product knowledge of broker-dealer, equity sales and trading, investment banking and research coverage and production practices.
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5-7+ years of U.S. broker-dealer compliance expertise monitoring equity sales, trading, research and investment banking. Our client, a prestigious Broker-Dealer, seeks a Compliance Officer for their midtown NYC office.
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Preferred experience in building trading products at a broker dealer, prop trading firm, hedge fund, or clearing firm. We are a team of engineers, product builders, institutional sales and trading leaders, operations experts, and business strategists.
$254,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago
sales broker dealer jobs in New York, NY
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