Broker-Dealer Operations Leader
$140.41k - $172kDormont Manufacturing Co
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 Dormont Manufacturing Co
$200k - $225k
...culture of continued evolution. About the Role As Director - Broker-Dealer FINOP, you will be responsible for the regulatory financial... ...exams (FINRA/SEC) and communication Ensure that operational processes (trade processing/settlement/clearing) are accurately...SuggestedWork at officeWork from homeWork visaFlexible hours$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...SuggestedFull timePart timeWork at officeLocal areaFlexible hours$59.11k - $88.66k
...Broker Dealer Operations Specialist 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...SuggestedWork at officeHome office- 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...SuggestedHourly payContract workLocal areaFlexible hoursShift work
- ...a leading Financial Institution, is seeking an AVP for their Broker Dealer Regulatory Reporting team in New York City. This role offers... ...relevant experience in Financial Services, with a firm grasp of operational reporting and relationship building. #J-18808-Ljbffr Taurus...Suggested
$190k - $225k
iCapital is seeking a Senior Vice President for the Broker Dealer and Distribution Compliance team in New York. The role involves oversight of the compliance program ensuring adherence to FINRA and SEC regulations, focusing on alternative investments and structured products...Remote job- 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...
$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- US Tiger Securities Inc. in New York, NY is looking for a Legal Associate to handle legal documents and agreements related to broker-dealer activities. The ideal candidate will have a JD or foreign equivalent, 2 years of legal experience, and fluency in Mandarin. This role...Remote work
$190k - $225k
...hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within... ...regulatory engagement, and compliance operations. The position requires a seasoned... ...capable of partnering with senior business leaders while exercising sound regulatory judgment...Full timeWork at officeRemote work- ...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...
$159.4k - $181.9k
...seeking a highly skilled Trade Surveillance Manager to enhance its surveillance program across Broker-Dealer and Swap Dealer activities. This role involves leading daily operations and ensuring compliance with regulatory requirements, while also managing and developing a...- ...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...
- A global financial institution is seeking an Analyst/Associate for their Financial Institutions Group in New York. The role involves client coverage, transaction support, and cross-selling various products. Candidates should have at least 2 years of experience in the financial...
- Hispanic Alliance for Career Enhancement is seeking a Counsel to join their Advisory & Broker-Dealer legal team in the United States. The position involves providing legal advice on complex legal matters related to investment advisory and broker-dealer activities. The ideal...
$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President 4 days ago Be among the first... .... You’ll collaborate with stakeholders across finance, operations, technology, and audit, while driving process improvements and...Full timeWork at officeRemote work$80k - $232.05k
...Birmingham, AL; Cleveland, OH; Washington, D.C. PNC Wealth Management (PNCWM) is PNC’s fast-growing retail investment adviser/broker-dealer. PNCWM’s advice and planning model places an emphasis on managed accounts and PNCWM’s advisory wrap accounts have over $30 billion...Full timeTemporary workPart timeWork experience placementWork at office- Framework Ventures is seeking an Operations Specialist to manage customer securities account openings and ongoing account management. You will handle operations including settlement and reconcile balances, primarily working remotely with in-office attendance required 2...Remote jobWork at office
$85k - $100k
...meetings, client events, and conferences. Responsibilities Lead and develop the Michigan 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 areaShift work- 6AM City, LLC is seeking a Senior Compliance Officer in New York to provide advisory and monitoring for Investment Banking and Equity Trading. Candidates should have strong analytical skills and knowledge of SRO and SEC regulations, along with a Bachelor’s Degree. This ...
$150k - $185k
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... ...-Dealer regulatory bodies (e.g. FINRA, SEC). Adhere to the operational risk framework for your role ensuring that all regulatory or...Immediate start$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$85k - $125k
Confidential in New York seeks a Compliance Associate with 1-3 years of experience to assist in broker-dealer compliance and asset management. Responsibilities include advising on compliance matters, monitoring trading activity, and implementing internal controls. Ideal...- Aci Llc is looking for a Staff Accountant, FinOp in New York City to act as the Financial Operations Principal for various clients. Ideal candidates should have a Bachelor’s degree in accounting and 3-5 years of experience, managing multiple client accounts effectively...
$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...- TALENT SHIFT is hiring a Staff Accountant for a 3-month contract role in the Financial District of New York City. This full-time, onsite position requires 1-4 years of experience in a regulated financial services environment. Responsibilities include assisting with monthly...Full timeContract workShift work
$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- ...analytical staff accountant within the Finance department of U.S. broker-dealer. This role is vital for enhancing our broker-dealer... ...Liaise with various internal (i.e., trading, sales, legal and operations) and external colleagues as needed. Maintain reporting procedures...Permanent employment
- A leading broker-dealer firm is seeking a Compliance Analyst to join their small team. The ideal candidate will have 1-3 years of experience in broker-dealer compliance, assisting in surveillance of trading activity, updating policies, and handling regulatory reporting....
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