Strategic Finance & Operations Exec Broker-Dealer
Hold Brothers
Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, seeks an EVP of Finance & Operations to oversee self-clearing brokerage operations and affiliated entities. This executive will implement and manage finance and accounting processes, external filings, and disclosures in alignment with GAAP and the SEC. Reporting to the CEO, the role collaborates with business units to produce consolidated financial statements, monitor SEC guidelines, and manage relationships with #J-18808-Ljbffr Hold Brothers
$110.64k - $136.46k
...About The Role The Compliance Manager, Broker-Dealer & Investment Adviser is an essential member... ...Lead (Director). This role is the operational engine of the compliance program — owning... ...someone who can move fluidly between strategic oversight and hands‑on execution, who understands...OperationsFull timeWork at officeLocal area2 days per week3 days per week$220k - $250k
...live better. As Product Leader for our Broker-Dealer division (Custody, Trading, and Market... ...aggregation, while giving their teams the strategic context behind every priority. In this... ...closely with Legal, Compliance, Operations and Capital Markets to navigate the requirements...OperationsTemporary workSummer holidayWork at officeLocal areaFlexible hours$150k - $180k
...of America Hours 40 Line Of Business Finance Pay Detail 150,000 - 180,000 USD TD is... ...-oriented VP candidate to support our Broker-Dealer Regulatory Reporting team. This role is... ...technical mastery of the rules and strong operational judgment. Net Capital & Customer...OperationsWork at officeLocal areaWork from homeFlexible hours$140k - $150k
...The Team As the executing and clearing broker-dealer, DriveWealth LLC self-clears trades, custodies... ...of introducing broker-dealers, and operates within a highly regulated, SEC/FINRA-... .... As we scale, we’re building a finance function with the rigor, precision, and...OperationsFull timeWork at officeRemote workWorldwideFlexible hours3 days per week- ...accounting professional in New York to support accounting and operations for a growing digital assets fund. The role interacts with executive leadership, deal teams, and technology groups to drive strategic and financial initiatives. The ideal candidate brings 5-9 years...Operations
- Global Trading Systems seeks an experienced Entity Controller/Financial and Operations Principal to own financial reporting, regulatory compliance, and audit management for broker-dealer entities. You will lead the close, partner with auditors, and coordinate with FINRA...Operations
- ...the Insurance client segment - including strategic life insurance companies, affiliated... ...Services partners across product, service and operations to deliver a best in class service to... ...require a degree in a relevant field (i.e. Finance, Business Management, Computer Science,...OperationsWork at office
$150k - $180k
Careers / Frec / Senior Operations Associate — Broker-Dealer & RIA Senior Operations Associate — Broker-Dealer & RIA Posted 1 day ago About Frec Our... ...the ability to work cross-functionally across compliance, finance, product, and engineering Comfort with the ambiguity and...OperationsPermanent employmentRemote workFlexible hours- Join the NA Broker Dealers and Market Structure Payments Sales team!As a Payments Sales Manager... ...differentiated outcomes and deepen strategic relationships.Job ResponsibilitiesDrive... ...Collaborate with client service, compliance, operations, technology, risk, credit, legal in...OperationsOverseas
$130k - $177k
...seeking a Business Analyst to join our Broker Dealer Back Office team, with a focus on Transaction... ..., collateral optimization, and operational efficiency across a diverse product set... ...skills. Education : Bachelor’s degree in Finance, Business Administration, Computer...OperationsContract workH1bLocal areaRelocation3 days per week$200k - $250k
...a Series 7 and 24, you cannot be considered for this role. Broker-Dealer Chief Compliance Officer Position Overview A leading financial... ...will work closely with senior management, legal, trading, operations, portfolio management, and the affiliated investment advisory...OperationsWork at officeRemote workRelocation package- ...President, Associate General Counsel, Broker-Dealer Regulatory Compliance About the Company... ...Professional Services Brokerage Finance Investment Banking San Diego... ...RIA Registered Investment Advisor Strategic Wealth Services Strategic Wealth Services...
- ...is seeking an Associate Manager for New Verticals Strategy & Operations to lead financial workflows and improve processes for billing... ...with financial concepts. The role includes owning the Merchant Finance Product Roadmap, supporting product builds, and ensuring clear...Operations
- ...seeking a Regulatory Reporting Director in New York to lead accounting and regulatory reporting for a U.S. broker-dealer, ensuring SEC/FINRA compliance and guiding strategic initiatives. You will manage a team, oversee net capital computations, and coordinate with global...
$98.78k - $121k
...our Total Rewards philosophy . About the Role: The Broker-Dealer Operations Associate will be a vital member of the team, responsible for... ...and measurement accuracy. ~ A Bachelor’s degree in Finance, Accounting, Business, or a related field. Our cash compensation...OperationsDaily paidFull timeWork at officeLocal area2 days per week3 days per week- ...gaining broad exposure to all aspects of fund operations.Our client is seeking a Senior Fund... ...support fund accounting and operational finance activities across multiple investment... ...systems, leveraging AI tools, and supporting strategic operational initiatives.For immediate...OperationsImmediate start
- ...ServicesSelling Points Lead fund accounting operations in a dynamic financial environment.... ...compliance and operational excellence. Drive strategic initiatives and contribute to... ...RequirementsBachelor's degree in Accounting or Finance; CPA certification preferred.Minimum of...Operations
$120k
...internally with retail branch partners, operations, community business development officers... ...deepen relationships, and work together on strategic plans to acquire new clients• Keep... ...• 1+ year previous sales, credit and/or finance experience required• Proven product sales...OperationsFull timeLocal area- ...Regulatory Reporting SME to support a UK-based entity finance team on U.S. security-based swap dealer reporting. You'll own the technical side of FOCUS... ...regulatory interpretation You have: 5+ years in U.S. broker-dealer regulatory reporting Hands-on FOCUS, NLA, and...
- ...dynamic upstream oil and gas environment. You will partner with Asset Teams and Operations to develop asset-level budgets and forecasts while owning consolidation, reporting, and strategic financial analysis for senior leaders. This role offers high visibility across the...Operations
- ...City is seeking a proactive FP&A professional to join the Finance Team. You will be a strategic partner to the executive team and business owners,... ...Excel, PowerPoint, and collaboration across Finance, Analytics, Marketing, and Operations. #J-18808-Ljbffr SoulCycle Inc.Operations
- Salient Group seeks a seasoned Compliance leader to own the broker-dealer's regulatory relationships, from AML program oversight to FINRA... ...SEC examinations. The role sits at the nexus of Compliance, Operations, Technology, and Risk, translating complex regulations into robust...Operations
- Betterment is seeking a Product Leader for its Broker-Dealer division to own foundational asset management systems handling $70B+ in assets... ...regulated domain. You’ll partner with Legal, Compliance, Operations and Capital Markets to navigate requirements, while mentoring...Operations
$225k
Director, Compliance - AML & Regulatory Affairs (Broker-Dealer / Clearing Firm) We're looking for a senior compliance leader to take ownership... ...just react to them. You’ll sit at the center of Compliance, Operations, Technology, and Risk — translating regulatory expectations...Operations- ...play a crucial role in both accounting and operations. This is an excellent opportunity to... ...a dynamic environment, contributing to strategic and financial processes alongside executive... ...in regular ad hoc accounting and finance projects and analysis. Qualifications 5-...OperationsHourly pay
$90k - $125k
...over 80,000 institutional, commercial, and payment s clients, we operate from more than 8 0 offices spread across six continents. As a... ...dedicated to supporting the Chief AML Officer covering the Broker-Dealer (BD) Securities Division. In this role, the AML Advisory Team...Operations- ...Treasury, lead ALM matters relating to the broker‑dealer balance sheet monitoring and explaining... ..., Regulatory Reporting, Risk, and Operations, as necessary, to ensure ongoing compliance... ...or equivalent qualification. Degree in finance or economics, with proficiency in math,...OperationsFlexible hours
$140k
...allocations, and notifications Prepare and review expense allocations, operating expense budgets, and vendor expense payments Prepare quarterly... ...and support related workstreams Process Improvement & Strategic Projects Streamline and build processes and templates to...Operations$97.9k - $146.8k
Mutual of America Financial Group Lead Compliance, Broker / Dealer Location Boca Raton, FL (hybrid) or New York, NY (hybrid) Who We Are... ..., Head of Broker/Dealer Compliance on all aspects of the operations and personnel of the broker/dealer Assist the VP, Head of Broker...OperationsWork at office$103.92k - $155.88k
...a real impact. Job Overview We are seeking an experienced and strategic Vice President, Fund Accounting Security Pricing to lead the Security... ...products. This role provides leadership for pricing operations, valuation governance, vendor oversight, regulatory compliance...OperationsFull time
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