Senior Ops Control Leader Broker-Dealer, Stock Options
Framework Ventures
A leading financial services firm in the United States is seeking an experienced professional to design and maintain the Ops Control framework across back-office operations. This role involves extensive oversight of regulatory compliance, leading operational improvements, and managing internal and external audits. The ideal candidate has over 7 years of experience in broker-dealer operations, demonstrated leadership in control functions, and a detail-oriented approach to problem resolution. Competitive salary and stock options offered. #J-18808-Ljbffr
- A leading financial services company in New York is seeking a Senior Manager of Broker-Dealer Financial Operations and Controls. This pivotal role involves managing financial aspects of the firm's broker-dealer entity overseeing $65B in assets. The ideal candidate should...SeniorWork at office
- ...leading tech company in the United States seeks an Assistant Controller to oversee financial reporting and month-end close processes.... ...paced, high-growth environment. Competitive salary and benefits are offered including health insurance and stock options. #J-18808-Ljbffr...StockSenior
$49.93k - $92.58k
A financial institution based in the United States is seeking a Broker Dealer Ops Analyst 3. The role involves managing collateral for TBA trading, supporting municipal operations, and handling regulatory reporting. Candidates should possess a Bachelor’s degree and at least...SeniorRemote job$110k - $165k
...should have an equal opportunity to control their own financial future. Our vision... ...& Team We’re looking for a hands‑on Senior Accountant with broker‑dealer experience to own complex areas of... ...Monday) & lunches (every Friday), fully stocked kitchens, and monthly happy hours to...StockSeniorTemporary workWork at officeWorldwideMonday to Friday$100k - $135k
Senior Associate - Accountant, Broker Dealer New York, NY About Clear Street: Clear Street is modernizing the brokerage... ...regulatory reporting. Internal Controls & Process Improvement Develop and... ...include lunch stipends, fully stocked kitchens, happy hours, a great...StockSeniorWork at office- An international broker dealer is seeking an experienced Corporate Actions specialist to join their dynamic team. This role involves processing mandatory and voluntary corporate actions, managing stock loan trade reconciliations, and ensuring compliance with operational...StockSenior
$150k - $185k
...visit ( Purpose of Role: Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is meant to be a subject matter expert in U... ...or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as...Immediate start- Broker Dealer Ops Analyst 3 page is loaded## Broker Dealer Ops Analyst 3remote type: Officelocations: Columbus, OH: New York, NY: Chicago,... ...or risk colleagues to provide information and test internal controls* Assist in the training of new colleagues on any/all functions...Full timeH1bWork at officeRemote workWork from homeFlexible hours
$500 per month
...Are Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more.... ...Your Role Design, implement, and maintain the Ops Control framework across back-office operations, including...StockSeniorHome office$135k - $160k
...Betterment oversees and operates Betterment’s broker‑dealer entity that safeguards over $65B in... ..., design and operation of internal controls, and regulatory and financial reporting... ...clearing firm, and banking institutions. As Senior Manager of Broker‑Dealer Financial Operations...SeniorTemporary workWork at officeLocal areaMonday to ThursdayFlexible hours$150k - $185k
Purpose of Role Marex is seeking a Broker-Dealer Compliance Advisor (focusing on Equity Options) who is meant to be a subject matter expert in U.S. Broker-Dealer... ...or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee...Immediate start- ...technology and services firm is seeking a Senior Field Quality Manager to oversee quality... ...maintenance program. This role demands a hands-on leader with over 10 years of experience in field... ...benefits package including employee stock ownership and comprehensive health plans....StockSenior
$118k - $188k
...The Vice President of Broker Dealer and Middle Office Operations will lead... ...) business. As an industry leader in the SMA marketplace, Nuveen... ...DVP settlement of preferred stocks and taxable fixed income securities... ...please use one of the below options to contact our accessibility...StockWork experience placementWork at office- An International Broker Dealer is looking for an experienced Corporate Actions specialist to join... ...actions for the firm’s equities and stock loan operations teams. Additional responsibilities... ...procedures and execution of risk controls Identify and investigate corporate...Stock
- ...Senior Compliance Officer - Broker-Dealer Operations Location: New York, NY (Onsite 5 days/week) Function: U.S. Broker-Dealer Compliance... ...registrations and disclosures, and strengthens supervisory controls, policies, and recordkeeping. You will work closely...Senior
$185k - $200k
Senior Manager, Internal Audit & Controls AI + Real Estate platform (NYC) $185,000 - 200,000 + Equity (Stock Options) First Controls hire: Will help scale the platform and embed controls into product workflow. Targeting someone that will understand the bigger sales...StockSeniorWork at office$200k - $225k
...scale our liquidity and capital frameworks. You’ll learn how a broker‑dealer scales its treasury operations during periods of rapid product... ...lifecycle for diverse asset classes—including equities, options, and crypto—while directly influencing how the firm handles growth...SeniorWork at office- ...calculations, possession-or-control requirements, account classifications... ...* 10+ years of experience in broker-dealer regulatory reporting, capital... ...transactions (repo, stock borrow/loan), and customer account... ...closely with key business leaders to achieve business objectives...StockTemporary work
- ...A leading predictive maintenance firm is seeking a Senior Business Development Manager to lead their business development team. This role involves coaching BDRs, developing strategies for market growth, and collaborating with marketing to ensure alignment on outreach...StockSeniorRemote work
$170k - $190k
...strong SaaS expertise, you’ll drive strategic decision-making and improve financial processes. The position is remote for US-based candidates, offering competitive compensation between $170,000 and $190,000, along with extensive benefits and stock options. #J-18808-Ljbffr...StockSeniorRemote work- ...and define key performance indicators. Ideal candidates have 7–10 years of experience in B2B SaaS communications and proven success in PR campaigns. Benefits include stock options, extensive insurance plans, and over 13 hours of paid time off monthly. #J-18808-Ljbffr...StockSenior
$115k - $125k
...A leading sustainable product company is seeking a Senior Project Manager to oversee project delivery across various initiatives.... ...5,000-$125,000, along with comprehensive benefits including health benefits, stock options, and generous paid time off. #J-18808-Ljbffr...StockSeniorFull time$150k - $185k
Marex in New York is looking for a Broker-Dealer Compliance Advisor, specializing in Equity Options. The role demands at least eight years in compliance, expertise in U.S. regulations, and strong communication skills. Responsibilities include supporting compliance advisory...- JetBlue is seeking a Maintenance Controller responsible for overseeing the airworthiness of its aircraft fleet. This role will serve as the... ...work flexible hours. Additional benefits include healthcare, stock purchase plans, and travel opportunities on JetBlue. #J-18808-...StockFlexible hours
- ...Marketing and Sales teams. Candidates need 6-9 years of B2B SaaS demand generation experience and a strong grasp of marketing automation tools. Enjoy a hybrid work environment with competitive benefits including unlimited PTO and stock options. #J-18808-Ljbffr Alloy Inc.StockSenior
- A prominent international investment firm located in Manhattan, NY is seeking a Senior Fund Accountant to join their Private Credit team. The ideal candidate will have 3-6+ years of experience in public accounting and hands-on private credit fund accounting, with a required...Senior
- A leading biotech firm in New York is looking for a Senior Regulatory Affairs Manager to shape its regulatory strategy across a portfolio... ...in navigating FDA pathways. Competitive benefits including stock options, comprehensive health insurance, and a collaborative work...StockSenior
- A lifestyle operating system company in New York is seeking a Senior Lifestyle Manager to join their Member Experience Team. This full-time role involves managing premium lifestyle experiences for clients and anticipating their needs. Candidates should have strong relationship...StockSeniorFull time
- ...successful sales record. The role involves team leadership, client negotiation, and compliance management, with an opportunity for a hybrid working schedule. Benefits include medical insurance, employee stock options, and paid time off. #J-18808-Ljbffr Columbia Bank New JerseyStockSenior
$90k - $110k
TopView Sightseeing is seeking an Inventory Control Manager to oversee inventory management in Ridgewood, New York. The ideal candidate will have at least 5 years of inventory experience, including 2 years in a managerial role. Responsibilities include developing inventory...Stock
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Ops Control Leader Broker-Dealer, Stock Options. Be the first to apply!
- member team lead New York, NY
- team coordinator New York, NY
- group operations director New York, NY
- disability team leader New York, NY
- mobile team lead New York, NY
- group strategy director New York, NY
- operational excellence leader New York, NY
- quality control team lead New York, NY
- school leader New York, NY
- clinical team lead New York, NY

