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$120k - $225k
...fosters a long-term view that aligns our perspectives with those of our clients.About the RoleWe are seeking an External Wholesaler, Sub-Advised Insurance Distribution, to support the growth of Wellington's investment capabilities across insurance platforms and sub-advisory...SuggestedFull timeRemote workWork from homeHome officeFlexible hours1 day per weekWellington Management
Boston, MA3 days ago$100k - $171.25k
...and expanding relationships with top financial advisors in the Broker Dealer Channel across the South Florida market. The Regional Consultant... ...of wealth. Lead and coordinate regional travel with key sub-advisory partners and index providers, including the World Gold...SuggestedTemporary workCurrently hiring- ...and supporting a strong culture of regulatory compliance and ethical conduct. The ideal candidate will have strong knowledge of broker-dealer operations, excellent attention to detail, sound judgment, and the ability to communicate effectively in both English and Spanish...SuggestedFull timeWork at office
Leeds Professional Resources
Miami, FL5 days ago - ...We’re Hiring – Broker Dealer Operations professionals – all levels - Associate up to Manager! Location: Chicago, IL (Hybrid) Phillip Capital Inc., located in Chicago, is dually registered with the SEC/FINRA as a self-clearing broker dealer and the Commodity Futures...SuggestedFull timeWork experience placementWork at office
Phillip Capital Inc.
Chicago, IL1 day ago - ...Broker Dealer Compliance Advisory- Equities & Options We are working with a financial services organization seeking an experienced Compliance professional for a senior advisory position supporting its markets businesses. The role will work closely with business...SuggestedFull time
Dynamics Executive Search
New York, NY1 day ago - ...Senior Treasury / Liquidity Management – Broker-Dealer New York City | Financial Services I’m working with a highly regarded, growing investment bank and broker-dealer that is looking to add a senior Treasury / Liquidity Management professional to its platform....SuggestedFull timeTemporary work
Madison-Davis, LLC
New York, NY1 day ago $200k - $250k
Job Title: Chief Financial Officer (Self-Clearing Broker-Dealer / FinTech) Location: New York, NY (Hybrid) Employment Type: Full-Time Estimated... ...reconciliation, trade capture feeds, margin accounting, and sub-ledger-to-general-ledger flows. Strategic Financial Planning:...SuggestedFull timeWork at office- ...specific manuals when required; discuss safety protocol with when required. Ideal candidate has knowledge of OSHA 1926 and 1910 (all sub parts) required; holds certificates and is able to conduct forklift safety training, aerial lift, and boom safety training; OSHA certified...Suggested
Pryor Associates Executive Search
New York, NY2 days ago $140k - $170k
...and investment grade corporate bonds, and debt and equity tranches of Collateralized Loan Obligations ("CLOs"). The group manages and sub-advises a wide array of funds and accounts in the US and Europe, including CLOs, separately managed accounts, commingled funds, and...SuggestedFull timeWork experience placementLocal areaBlackstone Group
New York, NY4 days ago- Job Description CHS Inc. is a leading global agribusiness owned by farmers, ranchers and cooperatives across the United States that provides grain, food and energy resources to businesses and consumers around the world. We serve agriculture customers and consumers across...SuggestedMinimum wageContract workTemporary workLocal area
CHS Inc
Inver Grove Heights, MN21 hours ago $200k - $250k
...close break-ups. Most M&A processes begin with a buyer list. Alaris begins with buyer intelligence. The role At an independent broker-dealer such as LPL Financial, Osaic, or Commonwealth, you helped advisors and firm owners grow their practices and solve business...SuggestedFull timeRemote workAlaris Acquisitions
United States5 days ago- ...banking, and personalized guidance in one app for everyday Americans to invest and save with confidence. As a Senior Associate, Broker Dealer Compliance , you’ll report to the Vice President of Broker-Dealer Compliance, and collaborate with functional areas across...SuggestedFull timeWork experience placement
Stash
New York, NY1 day ago $200k
...services. With 11 offices nationwide and a network of more than 150 brokers, SIG’s collaborative, coast-to-coast platform offers a truly... ...billion in sales across 48 states. SIG is known for its unique sub-product-type specialization, collaborative culture, and commitment...SuggestedFull timeWork at officeSands Investment Group
Charlotte, NC3 days ago- ...Atlas Search seeks a SEC Broker-Dealer Regulatory Reporting SME to support its UK-based entity’s U.S. security-based swap dealer reporting requirements. This is a one-year contract role that can sit in New York City or performed remotely. The role requires deep knowledge...SuggestedContract workRemote work
Atlas Search
New York, NY1 day ago - Job Description CHS Inc. is a leading global agribusiness owned by farmers, ranchers and cooperatives across the United States that provides grain, food and energy resources to businesses and consumers around the world. We serve agriculture customers and consumers ...SuggestedMinimum wageTemporary workLocal area
CHS Inc
Inver Grove Heights, MN21 hours ago - ...Compliance team, where your expertise will be pivotal in maintaining our strength and resilience. As a Vice President in the Banks & Broker Dealers team, you'll manage exposure to a diverse client base, including North American banks, broker dealers, fintechs, and more....
Testing Site - JPMC
Plano, TX2 days ago - ...investment firm. They seek a Fund Accountant to join their Manhattan, NY office.ResponsibilitiesOversee coordination with the third-party sub-administrator and review accounting deliverables for accuracy and complianceInterface with the administrator, custodian, transfer...Work at officeRemote work
Abacus Group
New York, NY2 days ago - ...August 27, 2026 About the Role NewEdge Securities is seeking a seasoned supervisory professional to serve as Managing Director of Broker-Dealer Supervision. This senior leader owns the design, implementation, and day-to-day management of the firm’s supervisory...Remote work
NewEdge Capital Group
Fort Lauderdale, FL2 days ago - Job Description CHS Inc. is a leading global agribusiness owned by farmers, ranchers and cooperatives across the United States that provides grain, food and energy resources to businesses and consumers around the world. We serve agriculture customers and consumers across...Minimum wageTemporary workLocal area
CHS Inc
Inver Grove Heights, MN21 hours ago - ...financial services firm in Miami is looking for Senior Accountant. The ideal candidate will have 3-6 years’ experience, preferably in a broker dealer setting. A good attitude, people skills, good organizational skills and an open, inquisitive mind are essential for this...Full time
Confidential Hiring
Coral Gables, FL2 days ago - ...We are seeking an experienced, detail-oriented Operations Manager to oversee the day-to-day operations of our broker-dealer business. This individual will play a key role in ensuring operational efficiency, regulatory compliance, and exceptional service to financial advisors...Full timeWork at office
Leeds Professional Resources
Miami, FL2 days ago $90k - $110k
...Staff or Sr. Accountant for one of Miami's Top Companies! A very well known, highly respected, prestigious, Broker Dealer HQ'd in Miami, Coconut Grove is seeking a 2+ year Staff Accountant with Broker Dealer experience . In addition to a competitive salary, this company...Full timeImmediate startAscendo Resources
Miami, FL4 days ago- ...administration, and operational workflows across multiple custodian platforms. This is a hands-on leadership role requiring strong broker-dealer operations experience, regulatory knowledge, and team management capabilities. Key Responsibilities: Lead daily...Full time
Ascendo Resources
Miami, FL4 days ago - ...Our client is a global bank. They seek a Director, Broker Dealer Controller to join their Jersey City, NJ office. Responsibilities Direct month-end close and financial reporting processes to ensure accuracy, timeliness, and compliance with US GAAP, IFRS, and regulatory...Full timeWork at office
Abacus Group, LLC
Jersey City, NJ4 days ago - ...Senior Vice President, Broker-Dealer LendingWe're seeking a future team member for the role of Senior Vice President, Broker-Dealer Lending to join our Institutional Lending team supporting Broker-Dealers. This role is located in New York City, NY.In this role, you'll...Night shift
BNY
New York, NY1 day ago - Responsibilities: Partner with executive leadership to shape, execute, and continuously strengthen the firm's compliance framework in alignment with applicable securities industry regulatory obligations. Provide strategic oversight of monitoring, supervisory review...Full time
Partnership Employment
New York, NY1 day ago - ...BNY is seeking a Senior Vice President, Broker-Dealer Lending to join the Institutional Lending team in New York City. The role focuses on managing lending transactions, structuring solutions, and delivering high-quality risk analysis for broker-dealer clients. You will...
BNY
New York, NY4 days ago - ...and financial advisory, seeks a collaborative compliance professional in the United States to advise a diverse portfolio of RIAs, broker-dealers, and registered investment companies. You will lead engagements, translate complex requirements into practical solutions, and...
Kroll
Doral, FL2 days ago - ...Gusto in New York, NY is seeking a Founding Operations Leader for our broker-dealer entity to design and implement the in-house carrying broker-dealer operations from the ground up. You will set operating objectives, policies, and controls to meet FINRA/SEC standards,...
TheWrap
New York, NY2 days ago - ...reporting periods on a monthly, quarterly, and annual basis \n Preparing journal entries and monthly account reconciliations \n Compliance with SEA Rule 15c3-3 and SEA Rule 15c3-1. \n FOCUS and FINRA reporting \n Broker Dealer Experience Required \n \n...
Social Capital Resources
Mundelein, IL7 days ago
