Broker-Dealer Registrations Analyst — Hybrid
$72k - $87k6AM City, LLC
6AM City, LLC is seeking a Registrations Analyst who will be responsible for executing the registrations process, including individual and firm registrations 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 the opportunity to work from home while ensuring compliance with regulations. Compensation ranges from $72,000 to $87,000, based on individual qualifications. #J-18808-Ljbffr 6AM City, LLC
$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... ...financial markets are converging. This is a hybrid role spanning execution trading, sales trading, and...SuggestedWork at officeLocal areaFlexible hours$130k - $177k
...Recruitment Our Financial Services client is seeking a Business Analyst to join our Broker Dealer Back Office team, with a focus on Transaction Lifecycle... ...SmartStream TLM or similar platforms. This position is hybrid, 3-4 days a week in NYC. Local candidates only (no...SuggestedContract workH1bLocal areaRelocation3 days per week- A global financial institution is seeking an Analyst/Associate for their Financial Institutions Group in New York. The role involves client... ...an understanding of capital markets. The position supports a hybrid work environment, permitting flexibility in work location. #J-1...Suggested
- ...Taurus Search, a leading Financial Institution, is seeking an AVP for their Broker Dealer Regulatory Reporting team in New York City. This role offers a strong work-life balance and hybrid work. Key responsibilities include preparing the daily net capital and customer...Suggested
- ...company in New York City is seeking a Senior Engineer for its Broker Dealer organization to work on backend scaling and optimization. The... ...focus on building stable, scalable software components. This hybrid role requires in-office attendance three days a week and offers...SuggestedWork at office3 days per week
$85k - $110k
A midtown NYC broker-dealer is seeking an Accountant for an Associate level position reporting to the CFO. The role includes monthly closings... ...of US GAAP and IFRS is essential. The position offers a hybrid schedule after training, with a salary range of $85-$110k plus...$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...$151.9k - $173.4k
...Broker Dealer Advisory Manager Job Description Compliance Risk Manager will support Capital One’s broker dealers compliance program.... ...Designated Principals Maintenance: Working closely with the Registration and Licensing function, track changes to supervisory designations...Full timePart timeWork at officeLocal areaFlexible hours$165.7k - $189.2k
...A financial institution is seeking a Broker Dealer Advisory Manager in New York. The role involves supporting compliance programs, managing conflicts of interest, and conducting office inspections. Strong analytical and communication skills are essential, along with a...Work at office- ...Self-Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience working for a Self-Clearing... ...to stakeholders Oversee a team that is responsible for registrations and lead the following: coordination of broker-dealer audits...
$75k - $150k
...Broker/Senior Broker NFP, an Aon company, is a multiple Best Places to Work award winner... ...relationships. This is a full-time, hybrid position based out of any of the... ...experience a plus Certificates, Licenses, Registration: P&C License required or obtained within...Full timeWork at officeLocal areaRemote work$200k - $235k
...global investing! About the Role: As Managing Director, Broker Dealer FINOP, you will be responsible for the regulatory financial... ...on a cadence set by the Hiring Manager/Team. New York, NY (Hybrid) Pay Range $200,000-$235,000 USD Working at DriveWealth...Full timeWork at officeWorldwide- ...in advisory, assurance and tax. Our community is cultivated by a team of dedicated professionals working to help clients navigate hybrid workforce strategies and connect contract workers with projects they love. Talent Shift, LLC is a subsidiary of Forvis Mazars, LLP....Contract workLocal areaFlexible hoursShift work
$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... ...connection is required. This includes non‑office days for hybrid employees. Gusto is proud to be an equal opportunity employer....Daily paidWork at officeLocal area2 days per week3 days per week$82k - $140k
...President and is responsible for overseeing the management of the broker dealer's compliance risk. It is represented by the Chief Compliance... ...management skills. BA/BS required. Series7, 79 a plus. Hybrid Workforce Model SMBC’s employees participate in a hybrid workforce...Work at officeLocal areaWork from home$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President 4 days ago Be among the first... ...Assurance Vice President - Broker Dealer Office Status: Hybrid - 2x per week in office Base Salary: $170,000 - $190,000 base...Full timeWork at officeRemote work$70k - $90k
...collaboration and career connections. We offer the flexibility of a hybrid schedule from either our Plainview, NY or Midtown Manhattan... ...or other CRM required BA/BS preferred Certificates, Licenses, Registration P&C Insurance License required What We Offer We're proud to...Full timeWork at office$59.11k - $88.66k
...The Broker Dealer Operations Specialist plays a central role in delivering world‑class customer and transaction servicing for alternative... ...Bachelor’s degree. Location Bethlehem, PA or NYC (Hudson Yards) Hybrid Role - 3 Days in office Salary Range: $59,110.00 - $88,660.00...Full timeWork experience placementWork at officeHome officeVisa sponsorshipWork visaFlexible hours- ...Broadridge team. As the Head of Product Management for our Bank Broker Dealer business, you will create the product strategy, be responsible... ...to learn and collaborate as needed. This role is considered hybrid, which means you'll be assigned to a Broadridge office and...Work at officeLocal areaRemote work
$200k - $225k
...Head Of Broker Dealer Compliance DriveWealth is on a mission to make investing easier. We believe that everyone should have the ability... ...determined throughout your interviewing experience. New York, NY - Hybrid Please note: this role is expected to come into our office on...Full timeWork at officeWorldwide$100k
...Associate Regional Director (Hybrid Wholesaler) Alger seeks a highly motivated and organized individual to serve as an Associate... ...experience preferred ~ Position requires FINRA Series 7, and 63 registrations in accordance with Alger's licensing policy ~ Excellent...Base plus commissionWork at office$135k - $160k
...with confidence and ease. We’re headquartered in NYC and offer hybrid NY‑based positions (Four days/ week in‑office). About the role... ...Team at Betterment oversees and operates Betterment’s broker‑dealer entity that safeguards over $65B in assets for over one million...Temporary workWork at officeLocal areaMonday to ThursdayFlexible hours$90k
...client/prospect diagnostics – working at the direction of the Broker or Senior Broker to complete a total program assessment, including... ...practices and processes preferred. Certificates, Licenses, Registration P&C License required. Advanced industry designation(s) (e.g.,...Work at officeRemote work- ...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...Permanent employmentTemporary work
- ...Citibank (Switzerland) AG is seeking an Analyst for their Residential Mortgage Analytics group in New York. The successful candidate... ...Familiarity with Git version control is a plus. The position offers a hybrid work model and a competitive salary. #J-18808-Ljbffr...
- ...Self-clearing broker-dealer seeks Accounts Payable specialist to bring their Accounts Payable Process in-house. The Accounts Payable Specialist will be responsible for managing the full accounts payable function for a registered broker-dealer. This is a stand‑alone role...Weekly pay
$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 municipal, preferred, and taxable fixed income securities for Nuveen's Separately Managed Accounts (SMA) business....Work experience placementWork at office- ...AON PLC is seeking a skilled Broker in New York to manage complex international insurance accounts and mentor junior staff. In this role... ...and provide technical expertise on multinational accounts. This hybrid role requires a minimum of 3+ years of relevant experience,...
- ...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 our Broker-Dealer Regulatory Reporting team. This role is responsible for the preparation, review, and oversight of all SEC financial...Work at office
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