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Bank/broker Dealer jobs - New York, NY

Viewing 1 - 10 of 1,866 jobs

  • Broker Dealer Regulatory Reporting Controller

    Deutsche Bank - US - New York City, NY

    Core Competencies/Performance Standards: Deliver Results Understand broker-dealer market conditions, products and regula ... Financial management validation and control for the US Broker Dealer including all regulatory reporting and financial...

    10 days ago from eFinancial Careers

  • Customer Service Representative (Broker Dealer Operations)

    First Investors - Edison, NJ

    POSITION SUMMARY: Provide top quality customer service to the outside broker/dealer communities that have selling agreem ... activity files and settlements Work with outside broker/dealer firms on transactions and Fund/SERV trades Handle...

    21 days ago from StartWire

  • Senior Compliance Officer, Surveillance

    Finra Member Broker-dealer - New York City, NY

    Requirements: Minimum 3-5 years FINRA Member Broker-Dealer tenure as a Compliance Officer. May consider ... with and knowledge about the regulation of member broker-dealers by FINRA including Anti-Money Laudering (AML)...

    7 days ago from StartWire

  • Wealth Management Broker-Dealer and Capital Markets Attorney Officer

    Leading Global Financial Services Firm - New York City, NY

    advise and support Morgan Stanley Wealth Management’s Broker Dealer functions and its Capital Markets business. ... with a top quality major law firm and/or bank or broker-dealer. The candidate should have experience with US...

    11 days ago from IvyExec

  • Product Controller (broker/dealer)

    Linium Resources - New York City, NY

    Broker/Dealer - Finance: Product Control Product Control consists of a team of technical product controllers providing f ... working within Product Control function at an Investment bank in a P&L and/or Valuations role; A strong technical...

    20 hours ago from CareerBuilder

  • Investment Management/Bank Compliance/Broker–Dealer Audit Lead

    Morgan Stanley - Finance Industry - New York City, NY

    audit professional to lead its Investment Management, Bank Compliance and Broker-Dealer Internal Audit efforts, ... performing and/or reporting of Investment Management, Bank Compliance and Broker-Dealer Compliance audits in the...

    30+ days ago from VelvetJobs

  • Compliance Officer

    Bank/broker Dealer - New York City, NY

    * Looking for a compliance officer for Trade Finance (Letters of Credit) * Background with AML * Risk experience * 5-10 years compliance * AML and Trade Finance for Letters of Credit

    30+ days ago from Green Key Resources

  • Change Management (Business Analyst/Project Manager)

    Bank/broker Dealer - New York City, NY

    * Oversee the Change Management Function for the Middle Office * Strong understanding of Capital Markets, Derivative and Function of Middle Office * Must know the change function within Projects * Could oversee a small staff * Product...

    30+ days ago from Green Key Resources

  • Market Risk

    Bank/broker Dealer - New York City, NY

    * Handle all market risk activity for the Equity Derivatives Trading Desks * Must have understanding of Calculations of VAR and Greeks * Must have understanding of Exotics and Plain Vanilla Products * Advance excel and or advance technical...

    30+ days ago from Green Key Resources

  • Energy Derivatives Broker

    Bank/broker Dealer - New York City, NY

    ENERGY DERIVATIVES BROKER - CRUDE OIL DESK * Bring to the group an established book of business as well as the ability to develop new client relationships * A good understanding of the Crude Oil Markets and derivative strategies *...

    30+ days ago from Green Key Resources