Senior Broker-Dealer Compliance Advisor - Equities & Options
$150k - $185kMarex
Marex is seeking a Broker-Dealer Compliance Advisor in New York to provide expert compliance advisory services in U.S. Broker-Dealer regulation. This role involves supporting compliance practices across the organization, ensuring adherence to regulatory requirements, and collaborating closely with front-office teams. The ideal candidate will have at least eight years of experience in financial services compliance, along with a Bachelor's degree in a relevant field. The salary ranges from $150,000 to $185,000 per year, plus a discretionary bonus. #J-18808-Ljbffr Marex
$150k - $185k
Marex, located in New York City, is seeking a Broker-Dealer Compliance Advisor with at least 8 years of compliance experience in the financial... ...adherence to regulatory requirements, particularly in Equities and Options trading. The successful candidate will have a Bachelor...Employment EquitySenior$150k - $185k
...technology-powered services. For more information visit ( 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 expert in U.S. Broker-Dealer regulation providing compliance...Employment EquityImmediate start$150k - $185k
Compliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750 New York, NY Compliance Full-Time Responsibilities Support the Head of U.S. Broker-Dealer Compliance. Provide compliance advisory support to front office teams across day-to-day business activities...Employment EquityFull timeImmediate start$150k - $185k
...people enabling access to exchanges and technology-powered services. Purpose of Role Marex is seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is a subject matter expert in U.S. Broker-Dealer regulation, providing compliance advisory...Employment EquityImmediate start- ...involves extensive oversight of regulatory compliance, leading operational improvements, and... ...has over 7 years of experience in broker-dealer operations, demonstrated leadership in... ...to problem resolution. Competitive salary and stock options offered. #J-18808-Ljbffr...Senior
$200k - $225k
...scale our liquidity and capital frameworks. You’ll learn how a broker‑dealer scales its treasury operations during periods of rapid... ...the funding lifecycle for diverse asset classes—including equities, options, and crypto—while directly influencing how the firm handles...Employment EquitySeniorWork at office- Security Based Swap Dealer Senior Compliance Officer Serve as the leader in all aspects of compliance... ...experience at a regulator, private firm, broker dealer or required Expert knowledge of... ...SEC and FINRA rules governing equities Seniority level Mid-Senior level Employment...Employment EquitySeniorFull time
$150k - $190k
...a Security Based Swap Dealer (“SBSD”) program within... ...current institutional broker dealer, StoneX... ...Firm seeks a seasoned compliance officer that has prior... ...compliance program, the Senior Compliance Officer will... ...FINRA rules governing equities. Demonstrated ability...Employment EquitySeniorPermanent employmentFull timeWork at officeWorldwide$200k - $225k
...Head Of Broker Dealer Compliance DriveWealth is on a mission to make investing easier. We believe that everyone should... ...into a global platform offering trading of US equities, mutual funds, ETFs, fixed income, and options. There's never been a better time to build a...Employment EquityFull timeWork at officeWorldwide$200k - $225k
...pioneer of fractional equities trading and embedded investing... ...Role As Director - Broker-Dealer FINOP, you will be... ...reporting and compliance for the Company’s Broker... ...needed Communicate with Senior management in identifying... ...& STD. HSA and FSA options. Unlimited PTO 401k...Employment EquityWork at officeWork from homeWork visaFlexible hours$135k - $160k
...investors and investment advisors as well as financial... ...operates Betterment’s broker‑dealer entity that safeguards... ...reporting to maintain compliance with relevant FINRA... ...banking institutions. As Senior Manager of Broker‑... ...We offer a competitive equity package, health, dental...Employment EquitySeniorTemporary workWork at officeLocal areaMonday to ThursdayFlexible hours$110k - $140k
...of sell-side experience in US cash equities and/or equity options trading in a high-touch, fast-paced... ...Galaxy Securities’ unique position as a broker-dealer within a crypto-native firm to... ...optimal pricing and liquidity. Ensure compliance with best execution standards and...Employment EquityFull timeWork at officeLocal areaFlexible hours$210k - $245k
...investors and investment advisors as well as financial wellness... ...Engineering Manager in Broker Dealer, you'll help balance on-... ...for strict regulatory compliance. Every ounce of efficiency... ...benefits and FSA and HSA options * Ownership: Equity for all employees, including...Employment EquitySeniorTemporary workSummer holidayWork at officeLocal areaFlexible hours$180k - $245k
Aon is looking for a Senior Property Placement Broker - Power & Renewable Energy Aon is hiring all over North... ...laws, short-term disability and optional long-term disability, health savings... ...and abilities, as well as internal equity and alignment with market data. The...Employment EquitySeniorFull timeTemporary workPart timeLocal area- ...fully engaged role within a growing private equity investment platform focused on FinTech.... ...? Direct Exposure: Work closely with senior leadership including the CFO and a founding... ...Resume Currently Employed: —Please choose an option— U.S. Citizen or have proof of legal...Employment EquitySeniorWork at officeWork from home3 days per week
$250k - $350k
Senior Casualty Broker Advisor - Construction & Infrastructure life insurance, vision insurance, paid time... ...market submission and product design options to clients, relationship managers,... ..., and abilities, as well as internal equity and alignment with market data. The salary...Employment EquitySeniorFull timeTemporary workPart timeWork at officeLocal area$242.7k - $315.5k
This Senior Builders Risk Broker role is designed to lead strategy, placement, and execution for large... ..., and abilities, as well as internal equity and alignment with market data. The salary... ...laws; short‑term disability and optional long‑term disability; health savings...Employment EquitySeniorFull timeContract workTemporary workPart timeWork at officeLocal area2 days per week3 days per week$37.44k - $44.01k
...Mortgage Home Lending Center Senior Loan Officer within PNC's Mortgage... ...in purchase, refi, and Home Equity in Consumer Direct. PNC will... ...documentation to ensure compliance. Manages customer pipeline for... ...Depending on your eligibility, options for full-time employees...Employment EquitySeniorFull timeTemporary workPart timeWork experience placementWork at officeRemote workWork from homeRelocation$150k - $165k
...Senior Product Manager- Merchant Integration and Embedded Finance... ...US-based employees, with the option to work in-person out of our... ...partner ecosystem enablement and compliance. This role is critical to... ...experience, location, internal equity, as well as other objective...Employment EquitySeniorTemporary workCasual workWork at officeRemote work- A leading brokerage firm is seeking a highly motivated Senior Broker to join their Futures & Options Desk in New York. This role involves supporting senior brokers with SOFR options trades, maintaining market awareness, and building strong client relationships. Ideal candidates...Senior
- ...Turquoise is looking for a Senior Platform Operations Engineer to lead the development of its Platform Engineering function. This fully... ...and reliability practices. Competitive pay, health care options, and unlimited PTO are offered. Join us to shape the future of...Employment EquitySeniorRemote work
- As a Senior Broker, you will play a vital role in supporting the execution and facilitation of SOFR options trades. Your responsibilities will include maintaining market awareness, preparing trade-related materials, and building strong client relationships. This role provides...Senior
$150k - $180k
...VP candidate to support our Broker-Dealer Regulatory Reporting team. This... ...partners to ensure full compliance with applicable SEC and FINRA... ...metrics; escalate issues to senior management as appropriate.... ...clients access to a premier U.S. equities business and highly-diverse...Employment EquityWork at officeLocal areaWork from homeFlexible hours- Framework Ventures is seeking an experienced accounting professional to oversee daily and month-end close processes in their Chicago office. The role involves preparing regulatory filings and financial statements while collaborating with various teams. Ideal candidates...SeniorWork at officeFlexible hours
- GFI is seeking a highly motivated Senior Broker to join our Futures & Options Desk. This is an exceptional opportunity for an individual looking to build... .... Collaborate with internal teams—including compliance, operations, and technology—to ensure smooth trade processing...Senior
- ...Summary The Advisor Consultant is responsible for creating new... ...territory targeting wirehouses and broker dealers by actively developing... ...members of distribution, legal, compliance, and investments. Maintain... ...of strategies—including equity, fixed income, quantitative...Employment EquityLocal areaWorldwide
$135k - $165k
Webull Financial is seeking an Associate Director of Compliance in New York to lead compliance efforts in regulatory frameworks including FINRA and SEC. The position requires a strong compliance professional with 5 years of related experience. The role includes drafting...Senior$49.93k - $92.58k
A financial institution based in the United States is seeking a Broker Dealer Ops Analyst 3. The role involves managing collateral for TBA trading, supporting municipal operations, and handling regulatory reporting. Candidates should possess a Bachelor’s degree and at least...SeniorRemote job$250k - $380k
...education, experience, job related factors permitted by law, internal equity, and market data, including geographic pay differentials in... ...eligible for a discretionary bonus, health insurance with an optional HSA, short‑term disability, long‑term disability, dental...Employment EquitySeniorFull timeTemporary workWork at officeFlexible hours$310k - $390k
...transactions, REITs and realestatefunds. You have experience in equity joint venture investments, structuring, and entity formation.... ...techniques, and networking skills. What We Offer A variety of options for medical, dental, vision, life, and disability coverage to...Employment EquitySeniorPermanent employmentWork at officeFlexible hours
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