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- # Managing Director, Broker-Dealer (U.S)EquitonManaging DirectorReal EstateReal EstateOn-siteLocationDallas, United StatesDate PostedJuly... ...-dealer leadership experience with deep FINRA/SEC regulatory knowledge- Practical experience raising capital for private real estate...SuggestedRelocation
InforCapital
Dallas, TX3 days ago $105.2k - $147.95k
...Director, Supervision – Broker Dealer Location: Remote Position Summary Leads the firm's broker‑dealer supervisory program... ...experience, including at least 5 years in a leadership role. ~ Strong knowledge of FINRA, SEC, and state securities regulations. ~ Experience...SuggestedRemote workHorace Mann
United States1 day ago- ...Job Description Job Description Independent Sales Broker – Construction Implements (Nationwide Dealer Expansion) Company Bear... ...and assigned retail partners Support dealers with product knowledge, positioning, and reorder strategies Provide market feedback...SuggestedFor contractors
Bear Iron Works Ltd
Grand Junction, COmore than 2 months ago $125k - $165k
...the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating... ...fintech, exchange, or clearing firm is strongly preferred. Knowledge: Strong understanding of retail brokerage operations and the...SuggestedContract workWork at officeLocal areamoomoo
Jersey City, NJ4 days ago$98.78k - $121k
...about our Total Rewards philosophy . About the Role: The Broker-Dealer Operations Associate will be a vital member of the team,... ...daily, monthly, and quarterly operational cycles. ~ Strong knowledge of cash and securities handling, settlement processes, and regulatory...SuggestedDaily paidFull timeWork at officeLocal area2 days per week3 days per weekGusto
New York, NY16 hours ago$150k - $175k
...~ Dental insurance ~ Parental leave ~ Vision insurance Broker-Dealer CEO Location: Smithtown, NY (In-Person) Employment... ...Director, or equivalent executive position. ~ Strong knowledge of FINRA, SEC, AML, and broker-dealer regulations. ~ Experience...SuggestedFull timeWork at officeFlexible hoursCXG Holdings Inc
Smithtown, NY5 days ago$120.8k - $137.9k
...Overview Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer) About the Role We are seeking a highly analytical... ...ideal candidate will bring strong product and market-conduct knowledge across exchange-traded futures and commodities markets. Experience...SuggestedFull timePart timeLocal areaCapital One
New York, NYmore than 2 months ago$97.9k - $146.8k
...Mutual of America Financial Group Job Title: Lead Compliance, Broker / Dealer Location: Boca Raton, FL (hybrid) or New York, NY... ...Required Qualifications: ~ Bachelor’s degree ~ Knowledge of FINRA and SEC rules applicable to broker/dealers ~ FINRA Series...SuggestedWork at officeMutual of America Life Insurance Company
Boca Raton, FL24 days ago$150k - $185k
...information visit ( Purpose of Role: Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options)... ...on Equities and Listed Options trading activities, as well as knowledge of various regulatory reporting requirements. Such guidance is...SuggestedFull timeImmediate startMarex
Chicago, ILmore than 2 months ago- ...compliance and financial crime function for our ADGM-licensed Broker Dealer entity. This role carries dual responsibility — serving... ...This is a hands-on senior role for someone who combines deep knowledge of ADGM/FSRA regulation with the commercial acumen to work closely...SuggestedFull time
Bybit
United Arab Emirates10 days ago - ...schedule of approximately 24 hours per week Exposure to complex broker-dealer regulatory requirements and senior financial... ...operations, finance controls, or a closely related area. ~ Direct knowledge of SEC Rule 15c3-3 , including customer protection and broker-...SuggestedPart time
Axiom Path
Jersey City, NJa month ago $290k - $335k
...significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with... ...between Marex and regulatory bodies. Role Summary The Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that...SuggestedFull timeWorldwideMarex
New York, NY12 days ago- ...Equities & Options Broker-Dealer Compliance Advisor Chicago - Onsite About The Role: We are seeking a Surveillance... ...related field required; JD/graduate degree preferred. ~ Strong knowledge of U.S. Broker-Dealer regulations and equity options. ~ Prior...SuggestedWork at office
Chicago Financial Search, Inc.
Chicago, IL7 days ago $150k
...This role will cover the Arizona market and the Independent Broker Dealer (IBD) channel. Responsibilities Maximize territory... ...perspective and a consultative sales approach. Maintain comprehensive knowledge of PIMCO’s products, platforms, themes, initiatives, markets,...SuggestedFull timeLocal areaFlexible hoursShift workPimco
Arizona16 hours ago- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Ops Analyst 2, New Account Onboarding Specialist 2, is responsible... .... In this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and...SuggestedFull timeH1bWork at officeRemote workWork from home
- Mutual of America Financial Group is seeking a Lead, Compliance for broker/dealer operations in a hybrid role in Boca Raton, FL (and New... ...of the broker/dealer. The role requires FINRA/SEC rule knowledge, Series 6 and 26 or ability to obtain, and 3-5 years of related...
- ...expansion strategy, we are establishing a boutique, limited scope broker-dealer focused on raising capital for private real estate... ...will combine strong broker-dealer leadership experience, deep knowledge of FINRA and SEC regulations, and a practical understanding of...Work at officeRelocation
$99.4k - $142k
...Department: Finance The Role: Senior Associate, Trading Operations (Broker Dealer) This role is required to be in person twice a week at... ...at a broker-dealer, exchange, or clearing firm Working knowledge of the FINRA/SEC regulatory framework applicable to broker-dealers...Work at officeRemote workFlexible hours- ...compliance programs across the brokerage and investment adviser entities. The role requires comprehensive compliance experience and knowledge of relevant regulations, as well as the ability to integrate AI tools into compliance operations. The successful candidate will...Work at office
- Equiton seeks a Vice President, U.S. Broker-Dealer Operations to lead the launch, regulatory oversight, and growth of its U.S. broker... ...to executive leadership and requires deep FINRA/SEC regulatory knowledge and capital-raising expertise. The candidate will establish scalable...
$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President 4 days ago Be among the... ...enhancements to strengthen the reporting framework. Maintain up-to-date knowledge of U.S. regulatory requirements, reporting standards, and...Full timeWork at officeRemote work- ...Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto... ...feedback and support to the product development team based on domain knowledge of U.S. and Japanese equity back-office processes. Provide...Full timeWork at officeRemote work
Alpaca
Japana month ago $59.11k - $88.66k
...The Broker Dealer Operations Specialist plays a central role in delivering world-class customer and transaction servicing for alternative... ...experience. ~ Experience with Alternative Investments and knowledge of Private Equity , Private Credit , Exchange Funds , and...Full timeWork at officeHome officeVisa sponsorshipWork visaFlexible hoursGuardian Life Insurance Company
Freemansburg, PA5 days ago- ...is the place to be. Job Summary: As a Commodity Trader specializing in building materials, you will leverage your market knowledge and analytical skills to manage and optimize the purchasing and selling of building materials. You will be responsible for developing...Temporary workImmediate start
Tri-State Forest Products
Perrysburg, OHmore than 2 months ago - ...Experience in sales, trading, finance, banking, or commodity markets preferred Grain trading experience (especially corn) is a plus Knowledge of foreign exchange, CBOT futures, or options trading is a plus Authorized to work in the United States Willing to relocate...Full timeRelocationEarly shift
Pacific Advisory Service
Schaumburg, IL10 days ago - ...qualification: ~ Technical degree Experience Basic qualifications : ~4 years of experience in an industrial environment Knowledge/Skills/Abilities (including any physical demands) Basic qualifications : Experience in the operation of skid loaders,...Full timeLocal areaRemote workFlexible hoursShift work
Louis Dreyfus Company
Claypool, IN10 days ago - ...fertilizer products while maintaining strong relationships with suppliers and customers. The ideal candidate will have deep industry knowledge, a robust network, and the ability to analyze market trends to maximize profitability. Key Responsibilities Trading:...Work at office
Interoceanic
White Plains, NY11 days ago $150k - $200k
...compensated for your contributions within the firm. Participate in formal education on quantitative concepts to build your trading knowledge. Lead market-making and execution across commodity options products, guiding pricing, risk parameters, and strategic direction....Full time$16.5 - $25 per hour
...Experience Required – None. Preferred – 1 years’ experience working in an industrial environment with a dependable work record. Knowledge, Skills, and Abilities Basic mathematical skills (add, subtract, multiply, divide). Effective interpersonal, oral and...Contract workVisa sponsorshipFlexible hoursShift workWeekend workAfternoon shiftCGB Enterprises, Inc.
Mount Vernon, IN2 days ago- ...Moving CRST The Transportation Solution is seeking a Freight Broker to source, develop, and manage third-party carrier... ...Market awareness: You know what’s moving across modes and use that knowledge to stay ahead Execution: Loads covered, communication clear,...For contractorsLocal areaShift work
CRST Expedited, Inc.
Cedar Rapids, IA21 days ago
