203 Results for

Brokerage Jobs in Uniondale, NY

Jobs

New!

New York, NY6 days ago

$100,000–$144,000

Legal Entity Reporting; Sub-ledger and legal entity reporting and support FCM (Futures Commission Merchant) or SBSD (Security-Based Swap Dealer) entities. Employee pay is based on factors like relevant education, qualifications, certifications, experience, skills, seniority, location, performance, union contract and business needs.

New!

New York, NYToday

Remote

$200,000–$340,000 Per Year

Advanced knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and Securities Exchange Act of 1934 is required, with knowledge of bank non-deposit investment product requirements, OCC Regulation 9, and ERISA regulations. Advance compliance programs that focus on regulatory requirements across applicable regulatory regimes, including: the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, Securities Exchange Act of 1934, and OCC Regulation 9.

New!

New York, NYToday

Remote

$85,000–$145,000 Per Year

Functions as an internal consultant to colleagues throughout City National Bank (CNB) related to operational compliance issues and concerns, utilizing their internal and external organizational agility to ascertain and deliver sound interpretation and advice. Benefits and PerksAt City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date.

New York, NY13 days ago

$72–$75 Per Hour
Full-time
Employee

This role sits at the intersection of trading, clearing, risk, and operations, and requires strong Python expertise, experience with financial systems, and a practical understanding of regulatory and compliance-driven environments. Work in a small, fast-moving team, owning end-to-end development of internal tools while collaborating closely with trading, risk, operations, and infrastructure teams.

New York, NY11 days ago

$80–$100 Per Hour
Contractor

The ideal candidate will have strong accounting knowledge, experience with end-to-end finance flows, and the ability to work across Finance, Operations, Product, and Data. This role will focus on enhancing multi-currency and multi-entity accounting capabilities across finance systems, controls, and operating processes.

Jersey City, NJ30+ days ago

$100,000–$145,000

stands 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). As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring your investment journey is backed by expertise.

New York, NY30+ days ago

$50,000–$60,000

The ideal candidate will work closely with the property manager and brokerage manager, contribute to marketing initiatives, and provide administrative support to headquarters as needed. A dedicated group of professionals that provide property management, real estate consulting, leasing management, cleaning and brokerage services.

New York, New York30+ days ago

Our experienced brokers are specialized in property, casualty, professional lines, transportation and workers' compensation, providing creative solutions to retail brokerage firms. Differences in race, creed, color, religious beliefs, physical or mental capabilities, gender identity or expression, sexual orientation, and many other characteristics bring together varied perspectives and add value to the service we provide our clients, trading partners, and communities.

Jersey City, NJ30+ days ago

Full-time

As a Prime Brokerage Margin-Client Service Operations Associate within JPMorgan Chase, you will play a pivotal role in managing the operations of the pre- and post-trading life cycle across all asset classes. JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P.

Jersey City, NJ30+ days ago

Full-time

Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management. As a Director of Software Engineering at JPMorganChase within the Corporate and Investment Bank Prime Brokerage Technology, you lead multiple technical areas, manage the activities of multiple departments, and collaborate across technical domains.

New York, NY30+ days ago

Remote

$80,000–$100,000

Join a well-established international logistics firm seeking a seasoned Customs Brokerage Department Managerto lead and manage a high-performing team of four. This is a fully remote position, ideal for a candidate with strong leadership experience in customs brokerage and hands-on entry processing.

Jamaica, NY8 days ago

$100,000–$135,000 Per Year

Required Experience Minimum 5 years of experience in freight forwarding, customs brokerage, or import/export operations preferred. Candidates with relevant coursework in International Business, Supply Chain, Transportation, or Logistics will also be considered.

SPRINGFIELD GARDENS, NY30+ days ago

Remote

Prepares customs entries and forwards freight to designated locations including interface with international and domestic carriers, overseas offices, and importers. Follows up on documentation discrepancy issues which requires the ability to troubleshoot and communicate effectively, both verbally and in writing with customers and foreign origins.

Jamaica, NY30+ days ago

$85,000–$125,000

The Import Manager directs and manages the activities of the import department within a branch, ensuring all import activities—both transportation and customs brokerage—are in compliance with regulatory requirements. A Customs Broker’s License is required in small and medium-sized branches where the Import Manager directly oversees CHB functions.

SPRINGFIELD GARDENS, NY30+ days ago

This position uses import/export regulations to classify products and determines eligibility for various regulatory programs involved in international imports and exports. Substantiates classification decisions using General Rules of Interpretation (GROI), Explanatory Notes, CROSS (Customs Rulings Online Search System) and other resources.

Stamford, CT17 days ago

Full-time

Valitana was awarded the 2026 Deal Catalyst CLO Award for Best CLO & Technology Provider – Innovation and serves approximately 100 institutional clients including CLO investors, CLO managers, hedge funds, asset managers, insurance companies, family offices, and broker dealers. Vesta is Valitana's specialty and credit insurance platform, automating the full policy lifecycle — from submission to runoff — for insurers, reinsurers, and MGAs/MGUs across lines including political risk, structured risk, corporate and mortgage credit, and portfolio credit (SRTs, CLOs, NAV, and fund finance).

New York, NY27 days ago

$150,000–$185,000

Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is meant to be a subject matter expert in U.S. Broker-Dealer regulation providing compliance advisory services, with a strong background on Equities and Listed Options trading activities, as well as knowledge of various regulatory reporting requirements. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.

Lincroft, NJ23 days ago

Remote

Full-time

As of 12/31/2025, the World Investment Advisors network of advisors and firms collectively provides support to over $70 billion in assets across a variety of channels including investment management and retirement plan consulting services. We believe our employees can best serve our clients and advisors in an atmosphere where individuals are treated fairly, where professional growth is fostered and encouraged, and where a healthy balance between work and home life is respected and preserved.

Saddle Brook, NJ30+ days ago

$50,000–$60,000 Per Year

With 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 Jersey 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.

Jersey City, NJ30+ days ago

Full-time

Your expertise will be utilized cross-functionally to promote the adoption and implementation of technical methodologies within diverse teams, helping the firm maintain its leadership in industry trends, best practices, and technological advancements. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

NY, NY30+ days ago

$125,000

Prepare and review SEC Rule 17a-5 FOCUS reports and supplemental regulatory filings (SIS, SLS, OBS, SSOI, Custody, Schedule I). This role is responsible for broker-dealer regulatory reporting compliance, with a focus on net capital, customer reserve, and FOCUS reporting.

New York, NY30+ days ago

Full-time

Minimum experience required: 6+ Years of experience in collateral monitoring, lending operations, or securities-related functions (SBL, margin lending, brokerage operations, private banking operations, or similar). Demonstrates a strong ability to build and maintain effective relationships with stakeholders by communicating clearly, engaging in proactive collaboration, and leveraging cross functional insights.

Smithtown, NY30+ days ago

We work directly with founders and financial professionals entering the capital markets industry and provide comprehensive regulatory and principal outsourcing solutions. You will work directly with qualified prospects in a consultative sales environment involving executive-level financial conversations and multi-touch deal cycles.

Smithtown, NY27 days ago

Remote

$40–$60 Per Hour

Compliance Exchange Group (CXG) is the market leader in providing a complete turn-key service for Broker Dealers including CMA / NMA services, buying, selling and building Broker Dealers. This includes principal outsourcing on all levels, including CCO, FINOP, CEO, and developing regulatory compliance systems to satisfy FINRA, SEC, state and federal regulators.

Jersey City, NJ30+ days ago

$120,000–$160,000

New York, NY30+ days ago

Full-time

Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management. JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P.

New York, NY30+ days ago

$110,000–$140,000

stands 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). As the Store Manager of our NYC Brand Store, you will lead the most visible in-person experience for our brand—connecting investors with powerful trading tools, market insights, and financial education.

New York, NY30+ days ago

$150,000–$210,000

The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics. The Group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers.

Jersey City, NJ30+ days ago

$145,000–$180,000

Trade surveillance and market abuse monitoring experience, including suspicious trading activity, spoofing, layering, wash trades, low-priced securities, or market manipulation reviews . Experience working in trading environments, including direct exposure as a trader, trading desk support professional, operations contributor, or surveillance/compliance partner supporting trading activity .

New York, NY10 days ago

$85,000–$150,000 Per Year

With 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 City 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.

Jericho, NY19 days ago

$55,000–$65,000 Per Year

With 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.

Jersey City, NJ18 days ago

Participants will gain practical exposure to how a clearing firm monitors trading activity, identifies potential risks, and supports regulatory obligations—building skills directly applicable to careers in compliance, risk, and financial services. Students currently enrolled in an accredited college or university with an interest in: Finance, Accounting, Economics, Business Administration, Data Analytics, Information Systems, Mathematics, Risk Management, Legal Studies, or Computer Science.

Jersey City, NJ30+ days ago

$70,000–$110,000

This role is central to providing white-glove service for account onboarding, asset transfers, and ongoing relationship management, with a focus on understanding client needs, addressing concerns, and executing retention strategies for at-risk clients. The ideal candidate is a proactive and consultative professional with deep platform expertise, dedicated to building long-term trust with our most valuable clients and ensuring a superior service experience at every touchpoint.

New York, NY30+ days ago

$90,000–$125,000 Per Year

With 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. Understanding of wealth management and investment advisory products, including “wrap fee” separate account programs, private and registered investment funds, as well as the regulatory landscape of investment advisers and broker-dealers.

Jersey City, NJ30+ days ago

$90,000–$130,000

stands 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). For deeper insights into our entities and affiliates, explore ore futuclearing.com or moomoo.ccom/us to discover the future of investing with confidence and innovation.

New York, NY18 days ago

Dynamex Trading & Execution specializes in offering an agency only broker who works with hedge funds, mutual funds, broker dealers, family offices, investment managers, RIA's, and other institutional clients. A broad, multi-platform skill set will help you be successful in this role, but there will be plenty of learning opportunities no matter how many of these skills you bring in with you.

New York, NY30+ days ago

$150,000–$170,000 Per Year

Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer, With 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. Our Investment Banking Team is committed to providing in-depth industry knowledge and delivering creative, market-based strategies to clients in all major industries, with a specific focus on Consumer and Retail, Energy, Financial Institutions, Healthcare, Industrial Growth and Services, Rental Services, Technology, Media and Communications as well as Transportation and Logistics.

New York, NY30+ days ago

$170,000–$190,000 Per Year

Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer, With 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. Our Investment Banking Team is committed to providing in-depth industry knowledge and delivering creative, market-based strategies to clients in all major industries, with a specific focus on Consumer and Retail, Energy, Financial Institutions, Healthcare, Industrial Growth and Services, Industrials, as well as Technology, Media and Communications.

Jersey City, NJ30+ days ago

$120,000–$160,000

stands 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). The Vice President, Trading Surveillance will be responsible for monitoring, investigating, and escalating potential market abuse and regulatory violations across multiple asset classes.

New York, NY30+ days ago

$55,000–$100,000

stands 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). Financial Expertise - Learn and maintain a deep understanding of moomoo's history, mission, product features, trading tools, and customer promotions to effectively communicate value to clients.

New York, New York30+ days ago

New York, NY30+ days ago

Full-time

will not provide any assistance or sign any documentation in support of any other form of immigration sponsorship or benefit, including optional practical training (OPT) or curricular practical training (CPT).JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

Jersey City, NJ30+ days ago

$95,000–$150,000

Proficient in SQL for data extraction and analysis; able to independently build data processing pipelines, anomaly detection, and audit tooling using AI-assisted programming tools — we value problem-solving thinking over any specific language; Hands-on experience building continuous auditing or automated monitoring solutions preferred. 5+ years of experience in internal audit, external audit, or related risk & compliance roles; Experience with a Big 4 firm, consulting firm, or leading Tech/Financial service company's internal audit function preferred.

New York, NY14 days ago

$50–$200

We serve fund managers, investors, sponsors, and operators across private markets by integrating deal flow, transaction diligence specialists, investor relations support, training, and placement into a single platform. Once verified, specialists gain immediate access to live diligence engagements tied to active transactions—no waiting periods, no unpaid work, and no simulated assignments.

New York, NY14 days ago

$50–$200

We serve fund managers, investors, operators, and deal teams across private markets by integrating deal flow, transaction analytics, analyst talent, investor relations, training, and placement into a single platform. Each Transaction Analysis Associate receives a 0–100 Analyst Rating Score, which determines: Visibility to deal teams and transaction sponsors.

New York, NY30+ days ago

$65,000–$70,000 Per Year

SURMOUNT Brokerage (formerly NNN Pro), the market leading commercial real estate net lease investment sales team in the country, is seeking a detail-oriented Transaction Coordinator to support our deal pipeline from listing through close. Collect and confirm receipt of all required closing documents: settlement statements, invoices, wire confirmations or check copies, FIRPTAs (where applicable), referral agreements, and external vendor invoices and W-9s.

New York, NY30+ days ago

Full-time

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.

New York, NY14 days ago

$50–$200

We support fund managers, investors, operators, and finance professionals across private markets by integrating deal flow, portfolio analytics, analyst talent, investor relations, training, and placement into a single platform. Former investment banking, private equity, venture capital, private credit, real estate, or senior consulting professionals with 5+ years of transaction and portfolio management experience.

New York, NY7 days ago

$50–$200

We serve private equity funds, independent sponsors, family offices, investors, and operators across private markets—integrating deal flow, analyst talent, investor relations support, training, and placement into a single platform. Once verified, analysts can begin earning income immediately by working on live private equity transactions across our network.

Smithtown, NY30+ days ago

Remote

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Brokerage Jobs in Uniondale, NY

Senior Accountant Hybrid - Broker Dealer Kforce Inc.

Head of Wealth Management Compliance City National Bank City National Bank

Compliance Specialist Senior Wealth Management City National Bank

Software Developer - Financial Systems Eclaro

Multi-Currency SME - Transformation Consultant Select Solutions Group, LLC

Director of Brokerage Operations moomoo

Property & Brokerage Associate (Korean Bilingual) Cesna Recruitment

Brokerage Operations Coordinator Ryan Specialty Group

Prime Brokerage Margin-Client Service Operations JPMorgan Chase Bank, N.A.

Director of Software Engineering - Prime Brokerage / Options JPMorgan Chase Bank, N.A.

Customs Brokerage Manager FreightTAS LLC

Customs Brokerage Manager (English/Mandarin) Pridestaff

Customs Brokerage Rep III: Mon-Fri: 9 am - 6:30 pm EST (Remote) UPS

Licensed Customs Brokerage Import Manager FreightTAS LLC

Sr Customs Brokerage Rep. M-F 9am-6pm UPS

Client Services Analyst Valitana LLC

Compliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750 Marex

Securities Compliance Principal World Insurance Associates, LLC.

Branch Operations Specialist (Saddlebrook, NJ) Oppenheimer & Co. Inc.

Director of Software Engineering - CIB Broker Dealer Platform JPMorgan Chase Bank, N.A.

Broker Dealer Regulatory Reporting Phaxis

Securities Based Lending - Collateral Monitoring Lead Flagstar Bank, N.A.

Broker-Dealer Business Development Sales CXG Holdings Inc

Broker Dealer Compliance Officer Remote CXG Holdings Inc

Vice President, Compliance Manager(AML) moomoo

Securities Financing Product Development - Vice President JPMorgan Chase Bank, N.A.

Financial Brand Branch Manager moomoo

Product Manager - Post Trade Operations - VN2502 Marex

Director, Compliance (AML) moomoo

Senior Branch Operations Manager (Chrysler East, NY) Oppenheimer & Co. Inc.

Senior Branch Operations Specialist (Jericho, NY) Oppenheimer & Co. Inc.

Unpaid - Compliance Intern - Trade Surveillance Support moomoo

Premier Client Service Specialist (Bilingual) moomoo

Marketing Compliance Officer Oppenheimer & Co. Inc.

Crypto Wallet Operations Specialist moomoo

Dynamex Trading Operations Intern Group One Trading

Investment Banking Associate – Global Fund Placement & Advisory Oppenheimer & Co. Inc.

Investment Banking Healthcare Life Sciences - Associate Oppenheimer & Co. Inc.

Vice President, Trading Surveillance Compliance moomoo

Financial Customer Experience Associate - Licensed moomoo

Broker Assistant Ryan Specialty Group

Investment Sales & Trading Business Manager Senior Associate JPMorgan Chase Bank, N.A.

Senior Internal Auditor moomoo

Transaction Diligence Specialist Initio Capital

Transaction Analysis Associate Initio Capital

Transaction Coordinator - (New York) NNN Properties, LLC

Principal Analyst, Vendor & Contract Management FINRA

Portfolio & Deal Analyst Initio Capital

Private Equity Analyst Initio Capital

Former Financial Advisor Broker Business Development Role CXG Holdings Inc

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