• Manager , Broker Dealer…

    Coinbase (Albany, NY)
    …regulated environment? We are looking for an exceptional Manager in our Broker Dealer Operations function, establishing the critical controls and ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to...function to support our equities trading product. As a Manager , you will both lead and directly contribute to… more
    Coinbase (09/21/25)
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  • Managing Director, US Broker Dealer…

    BMO Financial Group (New York, NY)
    …BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... Execution Services, LLC (CES). The broker - dealer CCO would manage the implementation, maintenance and administration of the broker - dealer compliance… more
    BMO Financial Group (09/25/25)
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  • Broker - Dealer Operations…

    Guardian Life (New York, NY)
    The Operations Specialist will serve as an SME on all aspects of our managed account model management, trading platform, annuity operations as well as all ... associated custody, clearance, and order execution processing. The Operations Specialist will intimately understand how our Portfolio Administration Technologies,… more
    Guardian Life (07/08/25)
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  • Compliance Business Oversight Manager

    TD Bank (New York, NY)
    …requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...**Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance… more
    TD Bank (09/24/25)
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  • Business Analyst Manager , VP

    MUFG (New York, NY)
    …including trade settlement and trade flow. Proven experience working within a Broker / Dealer environment. + **Product Knowledge:** Expertise with a broad range ... and rewarding landscape. **About the Role:** As Business Analyst Manager , you will lead a team of Business Analysts,...services industry, preferably in a relevant role within a Broker / Dealer or similar organization. + Demonstrated ability… more
    MUFG (09/10/25)
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  • Financial Institutions Group - Payments Sales…

    JPMorgan Chase (New York, NY)
    Join the Foreign Banks and Broker Dealer Payments Sales team! As a Payments Sales Manager within the Financial Institutions Group - Foreign Banks and ... Broker Dealer segments, you will be primarily...Banking coverage officers. + Collaborate with client service, compliance, operations , technology, risk, credit, legal in order to optimize… more
    JPMorgan Chase (10/03/25)
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  • Fixed Income Compliance Manager

    Citizens (New York, NY)
    …5 years' experience in Fixed Income Sales & Trading compliance at a FINRA registered broker dealer . + In-depth knowledge of SEC and FINRA rules (trade reporting, ... subsidiary of Citizens Financial Group, operates as a FINRA-registered institutional broker - dealer offering comprehensive services in M&A advisory, investment… more
    Citizens (09/19/25)
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  • Data Quality & Issues Management Lead, Assistant…

    MUFG (New York, NY)
    …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... other meetings + Work closely with business unit risk manager across the lifecycle of the Issue Management process...Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls… more
    MUFG (09/23/25)
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  • Manager - Forensic Analytics-Anti-Money…

    Deloitte (New York, NY)
    …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... Manager , Anti-Money Laundering Analytics About Deloitte Regulatory, Risk...IT, and business teams. + Supervise day to day operations , set up processes for delivery including technical/functional documentation,… more
    Deloitte (10/02/25)
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  • Investment Analytics & Trade Monitoring…

    City National Bank (New York, NY)
    …other regulatory affairs. * Experience with a financial institution such as a broker / dealer and/or registered investment adviser. * Experience working within a ... INVESTMENT ANALYTICS & TRADE MONITORING MANAGER *ABOUT US* City National Rochdale (CNR) partners with financial advisors and their high-net-worth clients to build… more
    City National Bank (09/04/25)
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