Broker-Dealer Operations Leader
$140.41k - $172kDormont Manufacturing Company
Dormont Manufacturing Co is looking for a Broker-Dealer Operations Manager in New York. This role involves overseeing day-to-day operations, ensuring compliance, and managing funds within our broker/dealer subsidiary. The ideal candidate has at least 7 years of experience in financial operations, including leadership and regulatory knowledge. With a base salary of $140,410 to $172,000, this position supports our goal of providing excellent financial services. #J-18808-Ljbffr
- ...New York Self Clearing Broker Dealer is seeking an Accounting Professional with Finance experience to work in a temp to perm role. Our client is searching for a self‑motivated, team‑oriented Accounting Specialist. This coveted position has room for significant growth as...SuggestedPermanent employmentTemporary work
- ...a leading Financial Institution, is seeking an AVP for their Broker Dealer Regulatory Reporting team in New York City. This role offers... ...of relevant experience in Financial Services, with a firm grasp of operational reporting and relationship building. #J-18808-Ljbffr...Suggested
$143k - $180k
...MUFG Bank, Ltd is seeking a VP for their US and Canada Broker Dealer Treasury team in New York. Candidates should have over 7 years of Treasury experience, thorough knowledge of broker dealer products, and strong analytical skills. The role involves managing projects to...Suggested$110k - $145k
...The Vice President of Broker Dealer and Middle Office Operations will lead a team responsible for the clearing, settlement, and operational management of... ...Separately Managed Accounts (SMA) business. As an industry leader in the SMA marketplace, Nuveen manages over $90 billion...SuggestedWork experience placementWork at office- ...Self-clearing broker-dealer seeks Accounts Payable specialist to bring their Accounts Payable Process in-house. The Accounts Payable Specialist... .... Key Responsibilities Manage end‑to‑end accounts payable operations, including invoice intake, coding, approval routing, and...SuggestedWeekly pay
- ...Gusto is seeking a Founding Operations Leader in New York to architect in-house broker-dealer operations. This pivotal role requires establishing operational objectives, ensuring compliance with FINRA/SEC standards, and building a high-performing team focused on operational...
$140.41k - $172k
...About the Role The Broker‑Dealer Operations Manager will be a vital hands‑on leader, responsible and accountable for the day‑to‑day operations, strategic planning, process design, and ensuring the reliability, accuracy and regulatory compliance of Gusto’s broker/dealer...Daily paidWork at officeLocal area2 days per week3 days per week$59.11k - $88.66k
...The Broker Dealer Operations Specialist plays a central role in delivering world‑class customer and transaction servicing for alternative investment products. The role supports end‑to‑end operations from onboarding through transactions, reconciliation, and servicing requests...Full timeWork experience placementWork at officeHome officeVisa sponsorshipWork visaFlexible hours- Overview We are seeking a Staff Accountant with 1-4 years of experience to support monthly close, reconciliations, and audit activities within a regulated financial services environment on a contract basis. This is a 5 day onsite role in the Financial District in NYC and...Hourly payContract workLocal areaFlexible hoursShift work
$200k - $235k
...global investing! About the Role: As Managing Director, Broker Dealer FINOP, you will be responsible for the regulatory financial... ...exams (FINRA/SEC) and communication Ensure that operational processes are accurately reconciled to the accounting general...Full timeWork at officeWorldwide- ...One of our NY based Broker Dealers is looking for a P&S supervisor. Kindly see details below. P&S Associate at Broker Dealer Located in New York Requirements List 2+ years experience working in the P&S Dept with a Broker-Dealer P&S specialist with Equity/Option product...Full time
- ...VP Candidate For Broker-Dealer Regulatory Reporting Team We are seeking a highly experienced and detail-oriented VP candidate to support... ...requirements, requires both technical mastery of the rules and strong operational judgment. Net Capital & Customer Protection (Rule 15c3-1 & 15...Work at office
$200k
...hire basis. We service our clients primarily in the tri-state area as well nationally through our AAFA network. Our client is a broker dealer located in Northern New Jersey and they are looking for an Accountnig Manager. This is their headquarters and the role reports into...$143k - $180k
...MUFG US and Canada Broker Dealer Treasury - VP page is loaded## MUFG US and Canada Broker Dealer Treasury - VPlocations: New York, NYtime... ...experience at major broker dealer(s) (with international operations) including demonstrated optimizations/net revenue improvements...Work at officeLocal areaRemote work$110k - $145k
...Teachers Insurance and Annuity Association of America is seeking a Vice President of Broker Dealer and Middle Office Operations in New York City. This leadership role requires overseeing a team focused on clearing, settlement, and operational management of fixed income...Work at office$151.9k - $173.4k
...Broker Dealer Advisory Manager Job Description Compliance Risk Manager will support Capital One’s broker dealers compliance program. Compliance Risk Managers are highly motivated Risk Management professionals with excellent communication skills, strong judgment and decision...Full timePart timeWork at officeLocal areaFlexible hours$85k - $100k
A leading investment management firm is seeking an Advisor Consultant to foster new and existing relationships with Financial Advisors in Michigan. The candidate will lead territory development, implement business plans, and maintain expertise in market trends. A minimum...- ...advisor meetings, client events, and conferences. Responsibilities Lead and develop the Mid West territory targeting wirehouses and broker dealers by actively developing relationships with advisors to promote business building ideas and services; maintain and grow assets in...Local areaWorldwide
$110k - $165k
...reports, journal entries, and account reconciliations. Ideal candidates will have 3-7+ years of relevant experience, particularly in broker-dealer or financial services, and familiarity with SEC/FINRA reporting. Competitive salary range of $110,000 - $165,000 annually is...Work at office$110k - $165k
...Role & Team We’re looking for a hands‑on Senior Accountant with broker‑dealer experience to own complex areas of the monthly close and play... ...readiness and execution. This role requires someone who can operate independently, dig into issues, and exercise sound judgment on...Temporary workWork at officeWorldwideMonday to Friday- ...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...Work at office
$110k - $140k
...Analyst, Sales & Trading (US Equities/Options Broker-Dealer) New York, NY Galaxy is a global leader in digital assets and data center infrastructure, delivering... ...tokenization technology. We also invest in and operate cutting-edge data center infrastructure to power...Work at officeLocal areaFlexible hours$135k - $160k
...in NYC and offer hybrid NY‑based positions (Four days/ week in‑office). About the role The Firm Operations Team at Betterment oversees and operates Betterment’s broker‑dealer entity that safeguards over $65B in assets for over one million customers. The team is...Temporary workWork at officeLocal areaMonday to ThursdayFlexible hours$150k - $180k
...experienced and detail-oriented VP candidate to support our Broker-Dealer Regulatory Reporting team. This role is responsible for the preparation... ..., requires both technical mastery of the rules and strong operational judgment. Net Capital & Customer Protection (Rule 15c3-1 &...Work at officeLocal areaWork from homeFlexible hours- ...is looking for a compliance leadership professional in New York, NY, to ensure adherence to FINRA and SEC regulations governing broker-dealer activities. The role involves designing and maintaining robust compliance programs, overseeing regulatory reporting, and managing...
$130k - $177k
...Financial Services client is seeking a Business Analyst to join our Broker Dealer Back Office team, with a focus on Transaction Lifecycle... ...role supports risk mitigation, collateral optimization, and operational efficiency across a diverse product set, including fixed income...Contract workH1bLocal areaRelocation3 days per week- ACG Consulting Group LLC in New York, NY is seeking an Accounts Payable Specialist to manage the company's accounts payable processes. This role is crucial for ensuring timely vendor payments and maintaining compliance with SEC and FINRA regulations. The specialist will...
- ...be best-in-class. As a Lead Credit Officer on the Banks and Broker Dealers team, you will leverage your analytical abilities and industry... ...channels with colleagues across the firm, including bankers, operations, legal, and finance Monitor clients and update key stakeholders...
$72k - $87k
...and compliance reporting. The ideal candidate will hold an undergraduate degree and possess 1-3 years of relevant experience in broker-dealer compliance, demonstrating excellent communication skills and a proactive attitude. The role offers a hybrid work environment with...Work from home- ...involves daily customer and PAB reserve calculations, preparation and analysis of FOCUS reports, and collaborating with front-office, operations, and control teams on regulatory matters. Candidates should have 7-12 years of experience in financial services, strong Excel...
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