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Brokerage Jobs in New Hyde Park, NY

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Senior Quantitative Model Analyst - Counterparty Credit Risk Modeling U.S. Bancorp

New York, NY

$126,820–$149,200 / year

The successful candidate will leverage advanced quantitative methods, strong programming skills, and deep derivatives expertise to develop, enhance, and maintain counterparty exposure models used to support the Bank's trading, prime brokerage, and securities financing businesses. The modeling framework is primarily based on Monte Carlo simulation and derivative valuation methodologies and supports the measurement of key counterparty credit risk metrics such as Potential Future Exposure (PFE) and Expected Exposure (EE).

26 days ago

Director, TS Business Operations Financial Industry Regulatory Authority, Inc.

New York, NY

$154,400–$299,600 / year

FINRA 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.

25 days ago

Operations Associate Stash Financial Inc

Remote

$70,000–$80,000 / year

Stash's Operations team is seeking an Associate to join our Fraud & Disputes team and play a pivotal role in maintaining a consistent customer-first approach to investigations and resolution of both disputes and potential fraud. Actual salaries will vary and will be based on various factors, such as the candidate's qualifications, skills, experience and competencies, as well as internal equity and alignment with market data for companies of our size and industry.

14 days ago

CHB Operations Associate A.P. Moller - Maersk AS

Valley Stream, NY

$56,000–$60,000 / year

With end-to-end customs visibility, Maersk Customs Services, offer global reach and local expertise to help customers navigate customs processes, and seamlessly coordinate their supply chains, ensuring the timely movement of goods. This role supports a small group of client accounts by expediting their shipments from start to finish; by development of familiarity with their import programs and products; by coordinating file processing with team members and other Company work groups.

10 days ago

Operations Supervisor II CMA CGM SA

$72,876–$91,094 / year

Characteristics: Ability to allocate work assignments; Proven experience in problem analysis, presentation of alternatives and implementing solutions; Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations; Ability to write reports, business correspondence, and procedure manuals. Minimum one year supervisory experience; Bachelor's Degree in International Business, Logistics or Supply Chain Management, Transportation, Finance or related discipline preferred or equivalent combination of work experience and education.

9 days ago

Associate, Market Risk Control - US Prime Services The Toronto-Dominion Bank

New York, NY

$90,000–$125,000 / year

Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Depth & Scope: Assists in the identification of all key market risks and determines appropriate risk metrics to assess these risks; maintains thorough understanding of all key risk and risk-related issues through continual review of risk reports/related data and dialogue with relevant parties.

30+ days ago

Assistant Vice President, Asset Backed Securities - Commercial, Esoteric & New Assets Morningstar Inc

New York, NY

$500–$2,000 / year

The successful candidate will primarily, under the direction of lead analysts and sector leadership, conduct analytical activities required to assign and monitor ratings for U.S. ABS transactions backed by equipment loans & leases, data centers, franchise/whole business securitizations and other emerging asset classes. Morningstar DBRS is a leading provider of independent rating services and opinions for corporate and sovereign entities, financial institutions, and project and structured finance instruments globally.

30+ days ago

Vice President, Asset Backed Securities - Commercial, Esoteric & New Assets Morningstar Inc.

New York, NY

$500–$2,000

30+ days ago

Institutional Equity Division - Associate, Documentation Negotiator (New York) Morgan Stanley

New York, NY

$100,000–$150,000 / year

Position Description: The Stanley's Institutional Equity Division (IED) Documentation team is currently looking for a trading agreement negotiator, responsible for handling all relationship level trading agreements, including, but not limited to equity derivatives, prime brokerage, securities lending, confidentiality agreements, Futures agreements, listed options agreements, OTC clearing agreements, ISDA Master Agreement and CSA as well as equity Master Confirmation Agreements. Job Responsibilities: Negotiate full suite of trading agreements including, but not limited to, ISDA Master Agreements and Credit Support Annexes, stock loan, prime brokerage agreements, listed derivative trading agreements, OTC clearing agreements, tri-party control agreements, master confirm agreements, confidentiality agreements, electronic trading agreements and other trading-related agreements.

30+ days ago

Documentation Negotiator - Institutional Equity Division - Associate Morgan Stanley

New York, NY

$100,000–$150,000 / year

30+ days ago

RIA Operations Specialist New York Life Insurance Co

New York, NY

Remote

$41,000–$58,500 / year

Through our "protection first" planning philosophy and backed by solutions that leverage New York Life's financial strength and mutuality, our advisors can tailor a plan to help their clients reach their long-term goals and withstand unforeseen fluctuations through insurance, annuities, brokerage (including stocks, bonds, mutual funds, and specialty asset classes), and other products. Our advisors assess their clients' needs and identify appropriate solutions that put their clients on a path toward achieving their financial dreams and aspirations over the clients lifetime - from wealth-building to retirement to legacy.

7 days ago

AML Advisory Team Lead - Broker-Dealer Securities Division StoneX Group

New York, New York

$90,000–$135,000 / year

This position will involve, among other tasks, responding to the front office inquiries regarding customer-related matters; advising on CIP/KYC/CDD and other AML requirements; analyzing enhanced due diligence (EDD) reviews to evaluate customer risk and providing clearance; handling activity and adverse media alert escalations for further review; working with independent auditor(s) and regulators to provide information being requested. Maintaining an in-depth understanding of how Bank Secrecy Act (BSA)/USA PATRIOT Act, OFAC/Sanctions, FinCEN, and FINRA/SEC requirements apply in practice to all aspects of the Clearing (Direct and Indirect) and Wealth Management business lines in the BD Securities Division.

30+ days ago

AML Advisory Team Lead Broker Dealer Securities Division StoneX Group Inc

New York, NY

$90,000–$125,000 / year

This position will involve, among other tasks, responding to the front office inquiries regarding customer-related matters; advising on CIP/KYC/CDD and other AML requirements; analyzing enhanced due diligence (EDD) reviews to evaluate customer risk and providing clearance; handling activity and adverse media alert escalations for further review; working with independent auditor(s) and regulators to provide information being requested. Primary Responsibilities include but are not limited to: Maintaining an in-depth understanding of how Bank Secrecy Act (BSA)/USA PATRIOT Act, OFAC/Sanctions, FinCEN, and FINRA/SEC requirements apply in practice to all aspects of the Clearing (Direct and Indirect) and Wealth Management business lines in the BD Securities Division.

30+ days ago

Digital Assets Strategy and Execution - Vice President Morgan Stanley

Purchase, New York

Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. WM Platforms consists of ten sub-teams including: Field Experience & Platforms, Digital Client Experience & Platforms, Workplace Platforms, Automation & Workflow, Digital Trading & Investing, Generative AI UX Design & Research, Strategy & Execution, WM Platforms Risk and the Chief Operating Office.

6 days ago

Digital Assets Strategy And Execution - Vice President Morgan Stanley

Purchase, NY

$110,000–$190,000 / year

Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. WM Platforms consists of ten sub-teams including: Field Experience & Platforms, Digital Client Experience & Platforms, Workplace Platforms, Automation & Workflow, Digital Trading & Investing, Generative AI UX Design & Research, Strategy & Execution, WM Platforms Risk and the Chief Operating Office.

5 days ago

VP, Futures Regulatory Compliance Futu Securities

Jersey City, NJ

Serve as a primary Compliance coordinator and subject matter expert for regulatory examinations, audits, investigations, and information requests involving the firm's futures business, including matters involving the CFTC, NFA, CME Group and other applicable exchanges and regulatory authorities. The successful candidate must possess significant hands-on experience within a futures commission merchant (FCM), futures clearing organization, exchange, regulator, or similarly regulated derivatives environment, with deep knowledge of CFTC, NFA, and applicable exchange requirements.

30+ days ago

Manager, Futures Regulatory Compliance Futu Securities International (Hong Kong) Ltd

Jersey City, NJ

Serve as a primary Compliance coordinator and subject matter expert for regulatory examinations, audits, investigations, and information requests involving the firm's futures business, including matters involving the CFTC, NFA, CME Group and other applicable exchanges and regulatory authorities. The Manager will coordinate regulatory responses, support examination readiness, maintain required documentation, and partner with Compliance, Futures Operations, Risk, Technology, Finance, Legal, AML, and business teams to address futures regulatory obligations.

30+ days ago

AVP Tech, Edge Security Engineer LPL Financial Services

New York, NY

$122,570–$204,249 / year

The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. As a leader in the financial advisor-mediated marketplace(6), LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans.

10 days ago

VP, Regulatory Finance Futu Securities

Jersey City, NJ

The 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.

30+ days ago

VP, Regulatory Finance Futu Securities International (Hong Kong) Ltd

Jersey City, NJ

30+ days ago

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Brokerage Jobs in New Hyde Park, NY

Senior Quantitative Model Analyst - Counterparty Credit Risk Modeling U.S. Bancorp

Director, TS Business Operations Financial Industry Regulatory Authority, Inc.

Operations Associate Stash Financial Inc

CHB Operations Associate A.P. Moller - Maersk AS

Operations Supervisor II CMA CGM SA

Associate, Market Risk Control - US Prime Services The Toronto-Dominion Bank

Assistant Vice President, Asset Backed Securities - Commercial, Esoteric & New Assets Morningstar Inc

Vice President, Asset Backed Securities - Commercial, Esoteric & New Assets Morningstar Inc.

Institutional Equity Division - Associate, Documentation Negotiator (New York) Morgan Stanley

Documentation Negotiator - Institutional Equity Division - Associate Morgan Stanley

RIA Operations Specialist New York Life Insurance Co

AML Advisory Team Lead - Broker-Dealer Securities Division StoneX Group

AML Advisory Team Lead Broker Dealer Securities Division StoneX Group Inc

Digital Assets Strategy and Execution - Vice President Morgan Stanley

Digital Assets Strategy And Execution - Vice President Morgan Stanley

VP, Futures Regulatory Compliance Futu Securities

Manager, Futures Regulatory Compliance Futu Securities International (Hong Kong) Ltd

AVP Tech, Edge Security Engineer LPL Financial Services

VP, Regulatory Finance Futu Securities

VP, Regulatory Finance Futu Securities International (Hong Kong) Ltd

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