broker dealer / investment advisor supervisory principal Jobs - 6174


Capco - New York,NY

About the Team: Capco is a distinctly and positively different place to work. Much more than consultants, we are active participants in the global financial services industry. Our passionate business and technology professionals...

Date : 2024-10-10T20:12:49Z

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Morgan Stanley - New York,NY

Investment Banking Associate / Vice President – New York (Asset Management) Job Number: 3259558 POSTING DATE: Sep 23, 2024 PRIMARY LOCATION: Americas-United States of America-New York-New...

Date : 2024-10-12T09:27:56Z

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Santander Holdings USA - New York,NY

Financial Advisor - Centralized, NY, NY Country: United States of America The Financial Advisor - Centralized is...

Date : 2024-10-07T02:07:09Z

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SGS Societe Generale de Surveillance SA - New York,NY

Responsibilities Day-to-Day Responsibilities: Portfolio Analysis, Front Office and Client InteractionCovers primarily Central Clearing Counterparties (CCPs), Financial Institutions, Broker Dealers, and...

Date : 2024-10-10T20:12:32Z

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ACA Group - New York,NY

The Opportunity: This position is responsible for leading the delivery of various ESG-related client projects, including ESG due diligence screens, ESG strategy and program development projects, and ESG reporting and impact...

Date : 2024-10-10T20:16:31Z

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Santander Holdings USA - Staten Island,NY

Financial Advisor - Centralized, Staten Island, NY Country: United States of America The Financial Advisor -...

Date : 2024-10-14T03:04:44Z

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Morgan Stanley - New York,NY

Investment Banking M&A Senior Associate / Junior Vice President - New York Job Number: 3256745 POSTING DATE: Sep 4, 2024 PRIMARY LOCATION: Americas-United States of America-New York-New...

Date : 2024-10-12T09:27:26Z

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SGS Societe Generale de Surveillance SA - New York,NY

Responsibilities Day-to-Day Responsibilities: Covers primarily Central Clearing Counterparties (CCPs), Financial Institutions, Broker Dealers, and Pension Funds.Supports Sales on client pitching by providing...

Date : 2024-10-17T00:31:31Z

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DriveWealth Holdings - New York,NY

About The Role: As Chief Compliance Officer, you will lead and manage the broker-dealer compliance team, oversee the development and implementation of compliance programs, monitor regulatory changes and provide guidance to...

Date : 2024-10-14T02:29:20Z

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Clear Street - New York,NY

About Clear Street: Clear Street is building modern infrastructure for capital markets. Founded in 2018 by topWall Street and Silicon Valley veterans, Clear Street is an independent, non-bank primebroker designed to solve the...

Date : 2024-10-15T22:20:10Z

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