Broker jobs in New York, NY - Page 7Create job alerts

The Guidelines and Restrictions team is tasked with ensuring compliance with investment guidelines across various accounts, including institutional separate accounts (both ERISA and non-ERISA), commingled trusts, mutual funds, and hedge funds. The team conducts daily, weekly, and monthly audits t...

About Oliver Wyman Oliver Wyman is a global leader in management consulting. With offices in more than 70 cities across 30 countries, Oliver Wyman combines deep industry knowledge with specialized expertise in strategy, operations, risk management, and organization transformation. The firm has mo...

VP, Financial Crimes Compliance Overview We are seeking a proactive VP candidate to join our Financial Crimes Compliance (FCC) team. The successful candidate will play a significant role in supporting the FCC function, with a focus on investigating potentially fraudulent market behavior. This pos...

Employer Summary: Octagon Credit Investors, LLC is a 25+ year old, $34+B investment adviser focused on leveraged loan, high yield bond, and structured credit (CLO debt and equity) investments. Through fundamental credit analysis and active portfolio management, Octagon's investment team identif...

MANAGING DIRECTOR BUSINESS AFFAIRS WHAT IS THE OPPORTUNITY? This position provides overall management of significant City National Rochdale (CNR) projects on a firm-wide scale crossing multiple business units Projects may cover a broad range of complexities and includes clients, prospects, territ...

Obtain application package from closing department and provide to Board for Approval * Notify Brokers once approved - Closing Agent typically contacts the broker * Update records accordingly Board

Monitor third-party platforms like prime broker portals and administrator systems for trade management * Identify process gaps, work with internal and external resources to create detailed ...

Our client, a top international financial services company, is seeking an NY barred Broker Dealer attorney for a 2-3 month (approx) duration. * Equities and fixed income trading, * Related SEC and ...

Some legal expertise in financial regulatory areas preferred, such as derivatives, clearing, fixed income, or broker-dealer regulation. * Strong writing skills, including for use in internal ...

Respond to ad hoc questions and claims/incidents from the business, and coordinate with insurance broker/carriers. * Allocate insurance premium costs and provide bi-annual updates on previously ...

Distribution Zone Leadership will have a sharp focus on strengthening and enhancing broker ... education, training, credentials and experience of the candidate. The base pay is just one ...

A broker-dealer background would be highly advantageous Kite Human Capital - Hire Better We are unashamedly focused on working with only the best people, who care about customer value and maintain a ...

... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC ... our company. We do not discriminate on the basis of any protected attribute, including race ...

The Ceded Reinsurance department's mission is to protect the company's surplus through the purchase of reinsurance and provide accurate reporting of liabilities to the reinsurers, broker community ...

Valid driver's license * Please upload your resume. Completing the online assessment will grant you priority consideration! * Applicants must pass pre-employment screening We are an Equal Opportunity ...

Highly confidential conversations to ensure your strategies and operations remain secure. Requirements: * Proven track record as a Freight Broker with the ability to generate sustainable profit ...

Senior Software Engineer (DevSecOps AWS Golang / Java) New York to $225,000.Do you have expertise with secure coding practices?.You could be progressing your career, in a senior, impactful role at a global prime broker that is replacing the legacy infrastructure used across capital markets with a...

Minimum Qualifications Non-Competitive: possession of a license and registration as an insurance broker or insurance agent issued by the New York State Department of Financial Services, or other State regulatory agency, and ten years of professional experience in the administration of a public po...

Client is seeking a Customer Service Representative to join the Broker/Dealer Operations team. Research account and transaction records in order to resolve issues for registered representatives and shareholders about their mutual fund accounts. Process telephone requests such as redemptions, exch...