Trading Operations Senior Associate — Hybrid Broker-Dealer
Gemini Personnel Pte Ltd
Gemini is seeking a Senior Associate for Trading Operations (Broker Dealer) to manage daily trade workflows, settlements, and risk controls in a hybrid New York City environment. The role collaborates with Compliance, Finance, Product and Engineering to ensure regulatory reporting and system robustness. Ideal candidates bring 4+ years in brokerage operations, strong FINRA/SEC knowledge, and proficiency in Excel/Sheets, SQL, and trading systems. #J-18808-Ljbffr Gemini Personnel Pte Ltd
- BBVA, a global financial services company, is seeking a Broker-Dealer Accounting Senior Analyst in New York. The role involves maintaining accounting policies for the broker-dealer, reconciliations, and assisting with month-end close and quarterly board materials. You will...Senior
$98.78k - $121k
...philosophy . About the Role: The Broker-Dealer Operations Associate will be a vital member of the team,... ...and outbound money movement and trades. On a monthly basis, research and... .... This includes non-office days for hybrid employees. Our customers come from...SuggestedDaily paidFull timeWork at officeLocal area2 days per week3 days per week$150k - $180k
Careers / Frec / Senior Operations Associate — Broker-Dealer & RIA Senior Operations Associate — Broker-Dealer & RIA Posted 1 day ago About Frec Our mission... ...solutions that eliminate them at the source. Trading operations — Monitor algorithmic trading systems in real...SeniorPermanent employmentRemote workFlexible hours$99.4k - $142k
..., fair, and secure. As a publicly traded company, Gemini is poised to accelerate... ...The Department: Finance The Role: Senior Associate, Trading Operations (Broker Dealer) This role is required to be in... ...In the United States, we offer a hybrid work approach at our hub offices,...SeniorWork at officeRemote workFlexible hours$59.11k - $88.66k
...The Broker Dealer Operations Specialist plays a central role in delivering world‑class customer and transaction servicing for alternative investment... ...Hub- Bethlehem, PA or NYC (Hudson Yards) preferred. Hybrid Role - 3 Days in office Salary Range: $59,110.00 - $88...SuggestedFull timeH1bWork at officeHome officeVisa sponsorshipWork visaFlexible hours- ...is seeking a hands-on investment compliance professional to support the day-to-day program across private funds, credit/CLO, and broker-dealer activities. You will review materials, assist with regulatory filings, and help run the compliance program with minimal...Senior
- StoneX Group is seeking an AML Advisory Team Lead in New York to oversee the AML Program across BD Securities and Wealth Management. You will guide CIP/KYC/CDD processes, perform EDD reviews, and liaise with front office and regulators on complex cases. Candidates should...Senior
$200k - $240k
...ecosystem, particularly across Independent Broker Dealers (IBD). This role will understand the... .... Serve as a strategic advisor to senior stakeholders, helping them navigate the... ...focus on scalability, compliance, and operational efficiency. Identify and execute growth...SeniorFull timeWork at officeRemote work- PIMCO Ltd. - Pacific Investment Management Company, based in New York, seeks a Senior Vice President to lead Legal and Compliance for PI's broker‑dealer operations. You will shape the compliance framework and supervise FINRA‑related activities to support distribution of...Senior
$140k - $160k
Ripple is looking for a Senior Accountant to join our team in New York. In this role, you will handle broker-dealer accounting, maintain the general ledger, and prepare financial statements while working in a dynamic, collaborative environment. This position offers an exciting...Senior- ...Senior Vice President, Associate General Counsel, Broker-Dealer Regulatory Compliance About the Company Profitable broker & financial advisory firm Industry Financial Services Type Public Company Founded 1989 Employees 5001-10,000 Categories...Senior
$1,000 per day
...firm is seeking an experienced Compliance Officer to oversee regulatory governance within a U.S. broker-dealer. The role focuses on maintaining compliance across Operations, Treasury, and Finance interfaces. Key responsibilities include managing the regulatory calendar,...SeniorContract workWork at office- BBVA, a U.S. broker-dealer subsidiary, seeks a detail-oriented accounting professional in New York. The role involves maintaining policies, reconciliations, month-end closes, and support for audits and regulatory reporting, including FINRA and SEC filings. Key tasks include...SeniorWork at office
- ...firm in New York is seeking a motivated Commercial Real Estate Associate to support high-profile clients in various real estate transactions... .... The firm offers competitive compensation, inclusive culture, and hybrid work flexibility. #J-18808-Ljbffr Gamoran Legal ConsultingSenior
$70.6k - $139.8k
Crowe is seeking an Audit Senior Associate for its New York office. The role involves leading client engagements, supervising staff, and maintaining client relationships in the Broker Dealer industry. Candidates should have over 2 years of experience in public accounting...SeniorWork at office$100k - $110k
...oriented individual to work at a growing U.S. broker-dealer subsidiary of a global financial... ...monthly finance presentation material to Senior Management and quarterly presentation... ...statement Track and analyze revenue and operating expenses by lines of business...SeniorExtra incomeWork at office- ...an experienced audit leader to oversee a team of auditors for broker-dealer clients and drive high-quality, compliant engagement delivery.... ...of audit strategies, monitor budgets, and present findings to senior leadership. Travel to client sites is required, with opportunities...Senior
$70.6k - $139.8k
...& Assurance that align with your professional goals. Are you up for the challenge? We’re looking for Audit Senior Associates with experience in the Broker Dealer industry vertical. As an Audit Senior Associate , you will further learn to lead, gain deep industry insight...SeniorLocal areaWorldwideHome office$220k - $250k
...’re headquartered in NYC and offer hybrid NY-based positions (four days/ week... ...better. As Product Leader for our Broker-Dealer division (Custody, Trading, and Market Data), you'll own the foundational... ...closely with Legal, Compliance, Operations and Capital Markets to navigate the...Temporary workSummer holidayWork at officeLocal areaFlexible hours$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 At Mutual of America... ...of Broker/Dealer Compliance on all aspects of the operations and personnel of the broker/dealer Assist the VP,...Work at office$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory... ...Dealer Office Status: Hybrid - 2x per week in office Base... ...across finance, operations, technology, and audit, while... ...regulatory examinations and senior management presentations. Lead...Full timeWork at officeRemote work$130k - $177k
...Business Analyst to join our Broker Dealer Back Office team, with a... ...collateral optimization, and operational efficiency across a diverse... ...platforms. This position is hybrid, 3-4 days a week in NYC. Local... ...Science, or related field. Seniority level Mid‑Senior level Employment...Contract workH1bLocal areaRelocation3 days per week- Max Consulting LLC in New York seeks an Associate, Equity Assistant Trader & Operations Administrator to support equity trading and operations. You will execute trades, analyze... ..., advanced Excel and Bloomberg, and a hybrid schedule with at least 3 days in the office...Work at office
$150k - $175k
...market via wirehouses, regional broker-dealers, private banks, registered... ...management and business operations specific to the private... ...and creating a Gold Standard hybrid work cultureCritical Competencies... ...$150,000 to $175,000 for a Senior Associate and $125,000 to $150,000...SeniorFull timeWork at office- Safra National Bank of New York is seeking a Trade Management Associate (Broker-Dealer) to support Securities Operations and manage the end-to-end trade lifecycle across asset-backed, equity-linked options and mutual funds. The role emphasizes middle and back-office functions...
$110.64k - $136.46k
...Role The Compliance Manager, Broker-Dealer & Investment Adviser is an... ...Director). This role is the operational engine of the compliance program... ..., complaints, AML, trade errors, books and records, vendor... ...includes non‑office days for hybrid employees. Gusto is proud to...Full timeWork at officeLocal area2 days per week3 days per week- ...Assistant General Counsel, Capital Markets, Broker-Dealer & FinTech About the Company Leading operator of financial markets for international securities... ...Marketplace Financial Exchanges Marketplaces Trading Specialties interdealer quotation...
$120.8k - $137.9k
...highly analytical and investigative Trade Surveillance Principal Associate to play a key role in executing and... ...across both its institutional Broker‑Dealer (BD) and Swap Dealer (SD) businesses... ...surveillance metrics and reporting for senior management. Regulatory Inquiry &...Full timeLocal area- ...The successful candidate will have at least 6 years of experience in fashion retail, strong analytical capabilities, and a genuine passion for trend-driven product. Benefits include health insurance, generous discounts, and a hybrid work model. #J-18808-Ljbffr MadewellSenior
$90k - $100k
The New York Public Library seeks a Senior Accountant, Grants & Special Funds to manage a portfolio of government and private grants. This... ...support capital construction projects. The position offers a hybrid work model with a salary range of $90,000 - $100,000 annually....SeniorFull time
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