Average salary: $92,142 /yearly
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- ...expansion strategy, we are establishing a boutique, limited scope broker-dealer focused on raising capital for private real estate... ...FINRA-registered broker-dealer. Provide overall leadership and management of the broker-dealer's operations, strategic direction, and business...SuggestedWork at officeRelocation
Equiton
Dallas, TX2 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 office
Kenan Advantage Group
Dublin, OHa month ago $118k - $188k
...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....SuggestedWork experience placementWork at officeNuveen
Chicago, IL13 days ago- ...Supervisory Principal Consultant to oversee day-to-day activities in a broker-dealer environment in Nashville, TN. This role will focus on... ...and operations, ensuring activities align with regulations and managing risks effectively. Successful candidates should possess a...Suggested
Lincoln Financial Services
Nashville, TN3 days ago $143k - $180k
...recruitment team will provide more details. The US and Canada broker dealer Treasury team is part of Global Markets Division... ...responsible for treasury functions including: funding and liquidity risk management, asset liability management, FX/interest rate risk management /...SuggestedWork at officeLocal areaRemote workMUFG Bank, Ltd.
New York, NY4 days ago$200k - $235k
...regulatory compliance in everything we do. Join us and help build the future of global investing! About the Role: As Managing Director, Broker Dealer FINOP, you will be responsible for the regulatory financial reporting and compliance for the company's broker...SuggestedFull timeWork at officeWorldwideDriveWealth
New York, NY4 days ago- ...Charles Schwab is seeking a Director to lead Broker-Dealer Systems Transformation in Westlake, Texas. The role focuses on modernizing... ...performing teams. Applicants should have over 10 years of experience managing broker-dealer systems, a Bachelor’s degree in computer science...Suggested
Charles Schwab
Westlake, TX4 days ago $150k - $180k
...highly experienced and detail-oriented VP candidate to support our Broker-Dealer Regulatory Reporting team. This role is responsible for... ...computation and PAB reserve formula under Rule 15c3-3. Manage the timely funding of the Special Reserve Bank Account and ensure...SuggestedWork at officeLocal areaWork from homeFlexible hoursTD Bank
New York, NY4 days ago- ...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
State Street Corporation
Dallas, TX5 days ago - ...Department: Clearing Operations Reports To: Clearing Operations Manager or Director of Operations Employment Type: FullTime... ...functions that support fullydisclosed and omnibus introducing brokers within a clearing firm. This position ensures the accurate processing...SuggestedFull time
FINTEX FINANCIAL INC
Addison, TX6 days ago - ...producer, resulting in sales results and retention. Works directly with bank investment program managers, program marketing/training staff, sales staff and producing agents and brokers on a daily basis. Develops in-depth product and industry knowledge as it relates to...SuggestedWork experience placementWork at officeWork from homeHome office
Western & Southern Life
Phoenix, AZ1 day ago - ...about developing your career, while helping others along the way, come join the Broadridge team. As the Head of Product Management for our Bank Broker Dealer business, you will create the product strategy, be responsible for product management roadmaps, and drive...SuggestedWork at officeLocal areaRemote work
Broadridge Financial Solutions , Inc.
New York, NY5 days ago $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....SuggestedWork experience placementWork at office- ...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
$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... ...products, and strong analytical skills. The role involves managing projects to optimize funding and revenue, enhancing liquidity management...Suggested$86.36k - $101.6k
U.S. Bank in St. Louis is seeking a Regulatory Reporting Specialist to manage the preparation of FOCUS Reports, enhance reporting controls, and coordinate responses to regulatory exams. Candidates should hold a Bachelor's in accounting or finance and have 5-8 years of...Work at office3 days per week$200k - $225k
...of experience in Treasury or Liquidity Risk, and includes developing scalable liquidity models, tracking capital requirements, and managing the funding lifecycle for diverse asset classes. Each candidate must demonstrate strong data management skills and an ability to...- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong... ...to be best-in-class. As a Lead Credit Officer on the Banks and Broker Dealers team, you will leverage your analytical abilities and industry...
$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...$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...$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...Remote jobFlexible hours- ...seeking a Lead Compliance professional to oversee the compliance program of its broker/dealer subsidiary in Boca Raton, FL. This hybrid role involves assisting the VP of Compliance with managing operations, developing training materials, and liaising with outside vendors....
$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...Full timePart timeWork at officeLocal areaFlexible hours$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... ...led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and...Immediate start- VP Candidate For Broker-Dealer Regulatory Reporting Team We are seeking a highly experienced and detail-oriented VP candidate to support... ...formula computation and PAB reserve formula under Rule 15c3-3. Manage the timely funding of the Special Reserve Bank Account and...Work at office
$97.9k - $146.8k
Mutual of America Financial Group Job Title: Lead Compliance, Broker / Dealer Location: Boca Raton, FL (hybrid) Who We Are At Mutual... ...assist the Vice President, Head of Broker/Dealer Compliance in managing the compliance program of the Company's broker/dealer subsidiary...Work at office- ...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...Work at office
Ted Britt Ford
Fairfax, VA1 day ago $100k - $171.25k
...Distribution Role in State Street Investment Management's Client Coverage Group We are currently hiring for a distribution role within... ...and expanding relationships with top financial advisors in the Broker Dealer channel across MO, LA, & AR. The Regional Consultant...Temporary workCurrently hiringRemote work$65k - $85k
...relocation services for public agencies on both federally and non-federally funded projects. Candidate must be able to monitor and manage timelines and tasks simultaneously for multiple projects and work as part of a team to meet client needs. Candidate must be self-motivated...Work experience placementWork at officeLocal areaRelocationRelocation packageCrawford Murphy & Tilly Inc
Springfield, IL9 days ago$59.11k - $88.66k
...The Broker Dealer Operations Specialist plays a central role in delivering world‑class customer and transaction servicing for alternative... .... Execute operations deliverables on recurring platforms; manage daily workflows and queues to meet service levels with a client‑...Full timeWork experience placementWork at officeHome officeVisa sponsorshipWork visaFlexible hoursGuardian Life
New York, NY2 days ago
