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Remote Broker Dealer jobs

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DIRECTOR, BROKER DEALER CONTROLLER

Manages relationships with regulators, including FINRA/SEC/CME/NFA/OCC.. Manages the annual audit process with external auditor. Ensures a strong control environment and compliance with 17a-5 program.. Develops a high functioning...

CompanyYork State Department Of Labor
AddressNew York, NY
CategoryAccounting/Finance
Date Posted 17 hours ago See detail

Director, Broker Dealer Controller New

York State Department Of Labor

New York, NY

Manages relationships with regulators, including FINRA/SEC/CME/NFA/OCC.. Manages the annual audit process with external auditor. Ensures a strong control environment and compliance with 17a-5 program.. Develops a high functioning...

17 hours ago seen See more...

Broker Dealer Compliance Officer

Cxg Holdings Inc

Remote

$50,000 - $60,000 a year

Bonus based on performance. Flexible schedule. Opportunity for advancement. Paid time off. Training & development. Coordinate with Compliance team for work being performed on behalf of clients. Analyze and interpret regulatory and...

3 weeks ago seen

Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

Orlando, FL

Description: Similar Jobs Associate Tax Attorney Orlando Tax Law Orlando, FL Full Time Real Estate Attorney Akerman, LLP Orlando, FL Full Time Attorney - Intellectual Property Shutts & Bowen, LLP Orlando, FL Full Time Criminal/Fam...

a month ago seen See more...

Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

West Palm Beach, FL

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a month ago seen See more...

Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

Lakeland, FL

Description: Similar Jobs Community Association Attorney Becker & Poliakoff Orlando, FL Full Time Attorney at Law The Golden Attorneys West Palm Beach, FL Full Time Mid to Senior-Level Attorney Kuhn Raslavich, PA Altamonte Springs...

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Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

Jacksonville, FL

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Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

Miami, FL

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Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

Fort Lauderdale, FL

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Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

Tampa, FL

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Broker-Dealer Regulatory Attorney In South Flor...

An International Law Firm

Tallahassee, FL

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State Street Global Advisors - Broker Dealer External Hybrid Sales Consultant, AVP

State Street

Scottsdale, AZ

Not disclosed

You will identify the needs of our clients varying business practices and regularly provide compelling solutions, market insights, investment ideas, and sales support. You will have a keen investment acumen and operate as an exper...

a month ago seen See more...

Distribution Marketing Manager (RIA/Broker Dealer) | Hybrid

Allianz

Minneapolis, MN

What you do:Maintain a firm understanding of advisory marketplace with a strategic overlay that accounts for both our distribution structure/approach and external segmented market needs and value proposition. Identify opportunitie...

a month ago seen See more...

Commercial Broker Dealer Chief Compliance Officer - Sr. Director

Capital One

New York, NY

Promoting a culture of compliance and managed risk taking. Providing subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering,...

2 months ago seen See more...

Dealer Registration Coordinator - Remote

Openlane

Carmel, IN

$16 - $18 an hour

Were a technology company building the worlds most advancedand uncomplicateddigital marketplace for used vehicles. Were a data company helping customers buy and sell smarter with clear, actionable insights they can understand...

2 months ago seen See more...

Remote Customer Service Agent (Auto Dealer Support)

Morley

Michigan, United States

$29.6K - $37.5K a year

Provide fantastic service over the phone Use your computer skills to:Research requests related to profile assistanceTrack vehicle shipments and vehicle ordersAssist with car warrantiesEscalate critical orders Research requests rel...

2 months ago seen See more...

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