Chief Compliance Officer- Broker Dealer - Miami, United States - Leeds Professional Resources

Broker Dealer Senior Operations Analyst

1 week ago

BTG Pactual is an international financial services firm based in Brazil with offices around the world and over 25 years of experience. To learn more about the company, you can visit This position is based in our Miami, FL office. This position is related to Alternative Products, ...

Compliance Associate

3 weeks ago

OPERATIONS ASSOCIATE (Correspondent Clearing Firm) · We are a clearing broker/dealer located in Miami, Florida in search of a Compliance Associate with 2-3 years of relevant experience working within the compliance department of a FINRA member firm. Preference will be given to ap ...

Legal Counsel

5 days ago

Sabadell Overview · Sabadell is a global financial institution headquartered in Barcelona, Spain and one of Europe's oldest and most successful banking groups since its founding in 1881. Sabadell covers all areas of the financial business sector under a common denominator: profes ...

Client Service Associate

3 weeks ago

Who We Are:Oppenheimer & Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brok ...

Client Service Associate

3 weeks ago

Who We Are: · Oppenheimer & Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities ...

Client Service Associate

1 week ago

Who We Are: · Oppenheimer & Co. Inc. (Oppenheimer) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities bro ...

Corporate Capital Markets

4 weeks ago

Greenberg Traurig has an excellent opportunity for a Capital Markets associate. We offer competitive compensation and an excellent benefits package. · Practice Summary · Greenberg Traurig's global Capital Markets Practice is recognized for its skill in handling U.S. and cross- ...

Commission Manager

2 weeks ago

The Commissions Manager supervises and oversees daily commission processing activities, system output review and customer inquiries. Adheres to critical deadlines while providing a high level of customer services to our network of independent investment professionals. · Interest ...

Investment Consultant/Internal Wholesaler

1 week ago

Overview: · The Investment Consultant - Latin America and US Offshore is responsible for building and maintaining business relationships with US-based financial advisers who provide service to non-resident clients. As an internal wholesaler, the Investment Consultant (IC) will wo ...

Branch Manager

1 week ago

The Branch Manager role leads one or more Ameriprise owned branch offices. They are responsible to understand the local market and execute a business plan to growth the branch profitably. Key responsibilities include growth of existing advisor practices through business plan coac ...

Director of Risk Management

2 weeks ago

Correspondent -Clearing broker/dealer - Miami, Florida · A Correspondent-Clearing broker/dealer located in the Miami, Florida metro area is seeking a Compliance / Risk Manager. The successful candidate will be responsible for oversight and implementation of the clearing firm's c ...

Senior Compliance Officer

3 weeks ago

Exciting opportunity for a Senior Compliance Officer to join a strong broker-dealer headquartered here in Miami. Amazing opportunities for career growth Hybrid work schedule. · Responsibilities: · Risk and Compliance · Conduct audits and testing of broker/dealer branch offices fo ...

Director of Risk Management

2 weeks ago

A Correspondent-Clearing broker/dealer located in the Miami, Florida metro area is seeking a Manager/Director of Risk. The successful candidate will be responsible for oversight and implementation of the clearing firm's client risk program. The role will involve everything from r ...

Securities Operations Associate

3 weeks ago

We are seeking an Operations Associate that has experience working on the securities operational side. The ideal candidate must be responsible for the following: · Responsible for generating trade instructions · Responsible for trade execution, trade settlements and account reco ...

Senior Securities Operations

2 weeks ago

Our client is a Registered Investment Advisor and they are seeking a Senior Operations Associate. · The successful candidate will be responsible for supporting the firm's Portfolio Managers for all investment-related operational processes. · Your role: · Interacting with banking ...

Securities Operations Specialist

3 weeks ago

As a Securities Operations Specialist, you will play a crucial role in ensuring the smooth and efficient execution of various securities-related processes. Your responsibilities will encompass a range of tasks to support the firm's trading activities, compliance, and client inter ...

AML Escalations

3 weeks ago

Overview: · Permanent, full-time, hybrid (3 days per week in an office) #LI-Hybrid #LI-SD1 · The AML EDD Associate is responsible for conducting customer and enhanced due diligence on accounts requiring AML reviews as well as periodic KYC refreshes. They will also address escal ...

Regional Sales

1 week ago

Arrow Funds is looking for regional sales consultants for selected metropolitan areas. We are seeking experienced wholesalers who are motivated to offer quality alternative and tactical investment strategies. We are seeking candidates who have relationships with registered invest ...

Voya Financial Miami Advisor

2 weeks ago

Voya Financial Advisors, Inc., a leading independent broker-dealer in the defined contribution & defined benefit business, is currently seeking a Financial Professional to join our team in the greater Miami area to work plan sponsor relationships. · This position will be respons ...

Commission Manager

2 weeks ago

The Commissions Manager supervises and oversees daily commission processing activities, system output review and customer inquiries. Adheres to critical deadlines while providing a high level of customer services to our network of independent investment professionals. · Job Respo ...