Director, Trade Surveillance & Financial Crimes Compliance moomooDirector, Trade Surveillance & Financial Crimes ComplianceJersey City, NJ$185,000–$230,000As the firm's subject matter expert for Trade Surveillance and AML, this leader is responsible for ensuring the effectiveness of surveillance and AML controls, maintaining compliance with SEC, FINRA, BSA, USA PATRIOT Act, OFAC, and other applicable regulatory requirements, and proactively identifying emerging risks through data analytics, technology, and industry best practices. This role provides strategic and operational leadership over market abuse surveillance, supervisory review, financial crime investigations, transaction monitoring, customer due diligence, regulatory reporting, and program governance.
NewRemote Securities & Financial Regulation Specialist TuringRemote Securities & Financial Regulation SpecialistNew York, New YorkRemote$100–$200Turing supports customers in two ways: first, by accelerating frontier research with high-quality data, advanced training pipelines, plus top AI researchers who specialize in coding, reasoning, STEM, multilinguality, multimodality, and agents; and second, by applying that expertise to help enterprises transform AI from proof of concept into proprietary intelligence with systems that perform reliably, deliver measurable impact, and drive lasting results on the P&L. What Does Day-to-Day Look Like: Review and evaluate AI-generated responses to U.S. securities law hypotheticals, including Securities Act registration, Exchange Act reporting, insider trading (Rule 10b-5), and investment company regulation.
NewRemote Securities, Commodities & Financial Services Sales Agent TuringRemote Securities, Commodities & Financial Services Sales AgentNew York, New YorkRemote$100–$150Turing supports customers in two ways: first, by accelerating frontier research with high-quality data, advanced training pipelines, plus top AI researchers who specialize in coding, reasoning, STEM, multilinguality, multimodality, and agents; and second, by applying that expertise to help enterprises transform AI from proof of concept into proprietary intelligence with systems that perform reliably, deliver measurable impact, and drive lasting results on the P&L. Role Overview: In this role, you will contribute to projects that help fine-tune and evaluate large language models using your expertise in financial markets, sales processes, and investment instruments.
NewTechnical Program Manager Phaxis LLCTechnical Program ManagerNew York city, NY$45–$53 / hourStrong knowledge of financial products, banking operations, wealth management platforms, and enterprise technology environments is required, with experience in digital assets, cryptocurrency, blockchain, tokenization, or crypto custody highly preferred. The ideal candidate brings 8+ years of technology program management or technology consulting experience , including significant experience within banking, wealth management, capital markets, or asset management .
VP, Regulatory Finance moomooVP, Regulatory FinanceJersey City, NJ$200,000–$250,000The VP, Regulatory Reporting is responsible for ensuring compliance with SEC, FINRA, CFTC, NFA, NMLS and state requirement, and applicable financial responsibility rules, including net capital, customer daily reserve computation, daily segregation/secured/swaps computation, FOCUS filings to FINRA and NFA, MSB Call Reporting and regulatory reporting requirements. The VP, Regulatory Reporting will oversee the firm’s regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and serve as a key partner during regulatory examinations and financial audits.
Director, Compliance Regulatory moomooDirector, Compliance RegulatoryJersey City, NJ$190,000–$230,000The successful candidate must possess extensive knowledge of broker-dealer clearing operations, regulatory requirements applicable to clearing firms, and experience in compliance investigations, trade surveillance, anti-money laundering, and regulatory reporting. The Director of Compliance will play a critical leadership role within the Compliance Department and will be responsible for managing regulatory examinations, inquiries, and investigations involving FINRA, the SEC, state securities regulators, and other regulatory agencies.
NewRemote Real Estate Sales Agent TuringRemote Real Estate Sales AgentNew York, New YorkRemote$100–$150Turing supports customers in two ways: first, by accelerating frontier research with high-quality data, advanced training pipelines, plus top AI researchers who specialize in coding, reasoning, STEM, multilinguality, multimodality, and agents; and second, by applying that expertise to help enterprises transform AI from proof of concept into proprietary intelligence with systems that perform reliably, deliver measurable impact, and drive lasting results on the P&L. Turing is looking for candidates with strong experience in real estate brokerage, deal negotiation, and transaction management, particularly at the level expected for licensed brokers overseeing property sales or managing agents.
Senior Branch Operations Specialist (Jericho, NY) Oppenheimer & Co. Inc.Senior Branch Operations Specialist (Jericho, NY)Jericho, NY$55,000–$65,000 / yearWith roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. This salary range is specific to the State of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs.
Listed Clearing Specialist Nesco Resource, LLCListed Clearing SpecialistNew York, NY$40–$50 / hourCollaborate with internal business units, affiliates, Front Office, auditors, and regulators to support clearing operations, reporting, controls, and process improvement initiatives. Oversee the daily operations of outsourced/offshore support teams to ensure accurate and timely processing of listed clearing transactions.
Trading Systems Operations Engineer Madison-DavisTrading Systems Operations EngineerStamford, CTExperience in financial services, ideally within trading, investment management, hedge fund, prop trading, market making, brokerage, or capital markets technology. Monitor trading systems, production applications, infrastructure components, and data workflows to ensure reliability and performance.
NewRemote Real Estate Broker TuringRemote Real Estate BrokerNew York, New YorkRemote$100–$150Turing supports customers in two ways: first, by accelerating frontier research with high-quality data, advanced training pipelines, plus top AI researchers who specialize in coding, reasoning, STEM, multilinguality, multimodality, and agents; and second, by applying that expertise to help enterprises transform AI from proof of concept into proprietary intelligence with systems that perform reliably, deliver measurable impact, and drive lasting results on the P&L. Turing is looking for candidates with strong experience in real estate brokerage, deal negotiation, and contract management, particularly at the level expected for licensed brokers or brokerage managers overseeing property sales and agent teams.
Operations Specialist Talent Software Services, Inc.Operations SpecialistJersey City, NJ$50–$53 / hourSupport North American equity trading operations by managing trade settlements, custody positions, and prime brokerage activities across different markets. This position supports operational processes related to trade settlement, cash management, and specialized functions such as asset servicing and wire payment operations.
Import Operations Manager Trade Compliance Recruiting SolutionsImport Operations ManagerHazlet, NJEnsure compliance with CBP rules and regulations, including HTS, COO, and valuation, FTA, PGAs, · Manage customs bonds & powers of attorney. The Import Operations Manager is responsible for leading the daily operations of a growing U.S. customs brokerage division.
Futures Operations Manager - Retail Broker Dealer moomooFutures Operations Manager - Retail Broker DealerJersey City, NJ$125,000–$165,000Retail Brokerage Operations: Support the operational lifecycle for retail customer accounts, including account maintenance, transfers, corporate actions or product events where applicable, customer inquiries, and escalated service issues related to futures and derivatives activity. Trade Processing & Settlement Support: Oversee daily post-trade operational processes for futures and other derivatives products, including trade capture, allocations, confirmations, expirations, exercises, assignments, settlements, and exception management.
Director, Compliance Regulatory Futu SecuritiesDirector, Compliance RegulatoryJersey City, NJThe Director of Compliance will play a critical leadership role within the Compliance Department and will be responsible for managing regulatory examinations, inquiries, and investigations involving FINRA, the SEC, state securities regulators, and other regulatory agencies. The successful candidate must possess extensive knowledge of broker-dealer clearing operations, regulatory requirements applicable to clearing firms, and experience in compliance investigations, trade surveillance, anti-money laundering, and regulatory reporting.
Director, Compliance Futu Securities International (Hong Kong) LtdDirector, ComplianceJersey City, NJstands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage - all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Maintain a thorough understanding of clearing and settlement processes, securities movements, securities lending, customer account activity, margin requirements, books and records requirements, and operational controls.
Senior Cyber Engagements Lead Financial Industry Regulatory Authority, Inc.Senior Cyber Engagements LeadJersey City, NJFINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
Cyber Awareness and Training Lead Financial Industry Regulatory Authority IncCyber Awareness and Training LeadJersey City, NJFINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
Manager - Capital Markets Surveillance Deloitte Touche Tohmatsu LtdManager - Capital Markets SurveillanceNew York, NY$144,600–$265,100 / yearStrong working knowledge of a range of financial services and / or securities-related business models, products, and services particular to the applicable industry, including deep understanding of traded asset classes and products, and related data (Orders, executions, RFQs, Market Data, etc.). Understand the impact of key technology trends and workforce changes impacting our clients through engagement with innovative and emergent technologies, including cloud computing, big data and analytics, process automation, artificial intelligence / machine learning, and other digital strategies.
Senior Consultant - Capital Markets Surveillance Deloitte Touche Tohmatsu LtdSenior Consultant - Capital Markets SurveillanceStamford, CT$119,000–$218,300 / yearStrong working knowledge of a range of financial services and / or securities-related business models, products, and services particular to the applicable industry, including deep understanding of traded asset classes and products, and related data (Orders, executions, RFQs, Market Data, etc.). Understand the impact of key technology trends and workforce changes impacting our clients through engagement with innovative and emergent technologies, including cloud computing, big data and analytics, process automation, artificial intelligence / machine learning, and other digital strategies.