Average salary: $92,142 /yearly
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$200k - $225k
...culture of continued evolution. About the Role As Director - Broker-Dealer FINOP, you will be responsible for the regulatory... ...pertaining to legal entities as needed Communicate with Senior management in identifying and resolving Broker-Dealer issues. Provide support...SuggestedWork at officeWork from homeWork visaFlexible hoursTensec
New York, NY2 days ago$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 hoursCapital One National Association
New York, NY5 days ago- ...Transportation Broker Position Overview KAG Logistics is seeking a driven, results-oriented Transportation Broker to manage the full lifecycle of freight transactions-from prospecting and onboarding shippers to carrier sourcing, rate negotiation, dispatch, and final...SuggestedWork at officeRelocation package
Kenan Advantage Group
Dublin, OH2 days ago - ...assignments and conditions. Assist customers courteously and ensure a smooth loaner process. Collaborate with service and management teams to track and manage fleet availability. High school diploma or equivalent required. Previous experience in automotive...SuggestedWork at office
Ted Britt Ford
Fairfax, VA2 days ago $59.11k - $88.66k
...Broker Dealer Operations Specialist The Broker Dealer Operations Specialist plays a central role in delivering world-class customer... ...health. Execute operations deliverables on recurring platforms; manage daily workflows and queues to meet service levels with a client-...SuggestedWork at officeHome officeGuardian Life Insurance
New York, NY2 days ago- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong... ...striving to be best-in-class. As a Vice President in the Banks & Broker Dealers team, you manage and oversee credit risk exposure...Suggested
$230k - $280k
Crypto.com is seeking an experienced professional to oversee US Broker-Dealer compliance operations in Manchester, NH. The role involves managing compliance activities, preparing regulatory filings, and serving as the primary contact for audits. Candidates should have Broker...SuggestedRemote jobFlexible hours$159.4k - $181.9k
A financial services company is 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...Suggested$250k
A leading financial services provider is seeking a Managing Director to manage sales relationships and expand opportunities across large banks and brokerage firms. The ideal candidate will have over 10 years of experience in sales leadership within financial services and...Suggested- ...Compliance Officer to join its Legal and Compliance Department. This role will handle broker-dealer compliance responsibilities, including overseeing the Licensing & Registration function and managing compliance programs for e-surveillance and conflicts of interest. Ideal...Suggested
$190k - $225k
...iCapital is looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory... ...individual supports the Chief Compliance Officer in the oversight, management, and execution of the broker‑dealer’s comprehensive compliance...SuggestedFull timeWork at officeRemote work- ...and scaling of brokerage trade operations for our introducing broker dealer platform. This role is responsible for overseeing core trading... ..., corporate actions, cash movement, onboarding, and account management—while ensuring operations enable, rather than constrain, the...SuggestedTemporary workFlexible hours
- Blue Owl Capital Holdings LLC is seeking a compliance professional to manage the Compliance program for its broker-dealer affiliate, Blue Owl Securities LLC. This role includes implementing policies and procedures to maintain compliance with FINRA requirements and overseeing...Suggested
- Blue Owl Capital is searching for a compliance professional to manage its broker-dealer compliance program. This position involves implementing compliance policies, coordinating FINRA filings, and providing training. The ideal candidate will have a minimum of 2 years of...SuggestedWork at office
$110k - $165k
Webull Financial is seeking a Senior Accountant to manage the monthly close process and support audit readiness. Responsibilities include... ...will have 3-7+ years of relevant experience, particularly in broker-dealer or financial services, and familiarity with SEC/FINRA reporting...SuggestedWork at office- Mjboyd is seeking a highly skilled Senior Project Manager to lead the strategic build-out of their new US Broker-Dealer based in Miami. The candidate will manage the complete setup process and collaborate with both local and European teams to ensure regulatory compliance...Local area
- A leading transportation company is seeking a motivated Transportation Coordinator to manage logistics for vehicle shipments. This remote role requires strong negotiation skills and the ability to maintain customer relationships. Ideal candidates have proven experience...Remote workFlexible hours
Ultimate Service Nationwide Inc
Oceanside, NY5 days ago $48.64k - $63.24k
...Build Carrier Networks That Keep Freight Moving CRST The Transportation Solution is seeking a Freight Broker to source, develop, and manage third-party carrier relationships within our Flatbed Solutions brokerage operation. This role is built for someone who thrives in...For contractorsWork experience placementLocal areaShift workCRST The Transportation Solution, Inc
Birmingham, AL4 days ago$48.64k - $63.24k
...Description Build Carrier Networks That Keep Freight Moving CRST The Transportation Solution is seeking a Freight Broker to source, develop, and manage third-party carrier relationships within our Flatbed Solutions brokerage operation. This role is built for someone...For contractorsWork experience placementLocal areaShift workCRST, INC.
Birmingham, AL6 days ago$60k - $90k
...Freight Broker Western Express freight brokers manage multiple client accounts in a fast-paced, high-energy, and rewarding environment. In this role, you will work from our state-of-the-art corporate headquarters in Nashville alongside some of the most experienced...Work at officeLocal areaWestern Express
Nashville, TN5 days ago- Gusto is seeking a Compliance Manager for its Retirement Compliance Team in San Francisco. This role focuses on managing compliance across RIA and BD entities, ensuring that programs are well-documented and aligned with regulations. The Compliance Manager will oversee execution...
- ## Broker Dealer Operations SpecialistApplyremote type: Officelocations: Columbus, OHtime type: Full timeposted on: Posted Todayjob requisition... ...products, such as ICS/CDARs and Money Market Fund investments* Manage daily settlement processes, including reviewing settlement...Full timeH1bWork at officeRemote workWork from homeFlexible hours
$140.41k - $172k
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...$150k - $175k
...advancement Paid time off Training & development 401(k) 401(k) matching Dental insurance Parental leave Vision insurance Managing Director / Broker-Dealer Services Location: Smithtown, NY (In-Person) Employment Type: Full-Time Compensation: $150,000 - $175,000 Base...Full timeWork at officeFlexible hours$200k - $250k
Investment Banking Senior Associate/Vice President | Broker-Dealer & Capital MarketsSkip to main contentBy using this website (collectively... ...three-statement modeling.Key contributions will include:* Managing and advancing every stage of sell-side M&A processes: spanning...InternshipHoulihan Lokey, Inc
New York, NY2 days ago- ...according to their needs, retaining them as clients. Participate in team sales situations with other producers and support personnel. May manage overall client relationships and is supported by day‑to‑day account management. Assist, educate and develop other staff members in...Full timeInternshipLive outWork at officeLocal areaFlexible hours
Arthur J. Gallagher & Co.
Dallas, TX5 days ago $130k - $150k
...class engineers to help shape the future of real estate and empower exceptional professionals to thrive as business owners. The Managing Broker is central to achieving Side's corporate and Brokerage vision, focusing on transaction management, compliance, market growth,...Local areaSide
San Francisco, CA5 days ago- Overview The Huntington Securities, Inc. (HSI) Broker Dealer Ops Analyst 2, New Account Onboarding Specialist 2, is responsible for supporting... ..., such as IC/E/CDARs and Money Market Fund investments. Manage daily settlement processes, including reviewing settlement reports...Full timeH1bWork 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
- ...Internal Client Advisor JPMorgan Asset Management (JPMAM) helps institutional and individual clients from around the globe meet their financial goals by providing industry-leading investment solutions. Our wide array of financial strategies—equity, fixed income, cash...
Chase
Chicago, IL2 days ago
