Broker-Dealer Executive - Operations & Regulatory Oversight (Part-Time) Ellington Financial LLCBroker-Dealer Executive - Operations & Regulatory Oversight (Part-Time)Old Greenwich, CTWhile Armstrong's activities have recently been limited to helping market MBS securitization transactions and executing various transactions for EFC and its affiliate Ellington Credit Company (NYSE:EARN), we are also open to expanding Armstrong's activities, such as proprietary trading and transacting with institutional customers in the REPO and other credit markets. Armstrong is a small, specialized institutional broker-dealer whose activities are currently limited to supporting various functions for its parent company, Ellington Financial (NYSE: EFC), a publicly traded mortgage REIT, and its affiliate Ellington Management Group, an investment advisor with over $20 billion in assets under management.
Director, Head of Markets Regulatory Affairs & Registrations (U.S. Broker-Dealer) Mitsubishi UFJ Financial GroupDirector, Head of Markets Regulatory Affairs & Registrations (U.S. Broker-Dealer)New York, New YorkAdditionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. Operating within the Compliance function and the Three Lines of Defense framework, the role serves as a trusted advisor to senior leadership and is responsible for driving regulatory readiness, enhancing governance practices, and promoting a culture of accountability, transparency, and continuous improvement across the U.S. broker-dealer environment.
Commercial Lines P&C Broker Brown & Brown IncCommercial Lines P&C BrokerMorristown, NJ$75,000–$200,000 / yearReview, analyze and underwrite risks submitted by Producers, rate submissions for premium and terms, analyze exposures for quotes for new and renewal business, issue written indications, quotes and binders; use inspection companies to obtain further information, quote rates, or explain company underwriting policies. Develop thorough understanding of internal operations to successfully extend Company facilities, utilizing binding authorities or brokering risks when required to successfully negotiate a placement.
Property & Casualty Broker Brown & Brown, INC.Property & Casualty BrokerMorristown, NJ$75,000–$200,000 / yearReview, analyze and underwrite risks submitted by Producers, rate submissions for premium and terms, analyze exposures for quotes for new and renewal business, issue written indications, quotes and binders; use inspection companies to obtain further information, quote rates, or explain company underwriting policies. Develop thorough understanding of internal operations to successfully extend Company facilities, utilizing binding authorities or brokering risks when required to successfully negotiate a placement.
Broker Sales Analyst Allianz SEBroker Sales AnalystNew York, NY$62,884–$95,107 / yearSome of your specific responsibilities could include: Develop and maintain reports and dashboards using AI, Salesforce, Power BI, and Excel to support Distribution activities, including timely production of leading KPIs and broker analysis. You will support sales operations, broker relationships, and business development initiatives through data analysis, reporting, and cross-functional collaboration, while contributing to improvements in data quality, tools, and processes.
Director, Broker Dealer Controller Royal Bank of CanadaDirector, Broker Dealer ControllerJersey City, New JerseyThe U.S.broker-dealer controller will be responsible for leading the teams responsible for all day-to-day general accounting matters for the U.S. Broker Dealers (RBC Capital Markets LLC and RBC CMA Ltd.), This includes the month/quarter/year-end close processes, general ledger administration, reconciliation, and financial analysis/reporting. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities.
Broker Dealer Business Development, Senior Associate InvestX Capital, Ltd.Broker Dealer Business Development, Senior AssociateNew York, NY$150,000–$170,000 / yearThis role is ideal for a self-starter with an established network within the Broker Dealer community and a proven track record of opening new relationships and raising assets for alternative investments. InvestX is backed by leading financial institutions Jefferies, Virtu Financial, and Canaccord Genuity and has been featured in CNBC, Forbes, Bloomberg, U.S. News, Business Insider, Reuters, The Globe and Mail, and many other publications.
Excess Casualty Broker, Senior Vice President Aon CorporationExcess Casualty Broker, Senior Vice PresidentNew York, New York$175,000–$250,000 / yearAs a senior broker, you’ll mentor top talent, build strong market relationships, and collaborate with leadership — all while helping to grow Aon’s casualty portfolio. Analyze and review insurance programs for clients to determine optimum program including structure, pricing, terms and conditions for both new and renewal business.
Broker II, Middle Market Practice Aon CorporationBroker II, Middle Market PracticeNew York, New York$100,000–$150,000 / yearThe individual leads by example as a strong sponsor of Aon’s Leadership Model; supporting local colleagues; promoting and ensuring connectivity, collaboration and cooperation within local office practices, functions and fostering the sharing of knowledge, best practices and resources around our Property and Casualty accounts. The Broker is responsible for the management of a portfolio of middle market accounts, including the placement and service, as well as ensuring client results are maintained.
Inside Broker - Casualty Ryan Specialty GroupInside Broker - CasualtyNew York, New YorkThe role is responsible for managing a broker's book of business in-house using deep knowledge of initial risk assessments to secure the best coverage and place it smoothly in the right market. 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.
NewInside Broker Ryan Specialty GroupInside BrokerNew York, New YorkThe role is responsible for managing a broker's book of business in-house using deep knowledge of initial risk assessments to secure the best coverage and place it smoothly in the right market. 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.
Junior Broker - U.S. Inflation TP ICAP Group plcJunior Broker - U.S. InflationNew York, NY$75,000–$100,000 / yearFor each asset class, ICAP offers e-trading capability, giving clients the option to enter prices and execute trades directly via one of our hybrid electronic trading systems, or to engage with brokers who can identify and negotiate trades. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement.
Junior Broker - U.S. Inflation TP ICAPJunior Broker - U.S. InflationNew York, New York$75,000–$100,000 / yearFor each asset class, ICAP offers e-trading capability, giving clients the option to enter prices and execute trades directly via one of our hybrid electronic trading systems, or to engage with brokers who can identify and negotiate trades. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement.
Broker-Dealer Executive - Operations & Regulatory Oversight (Part-Time) Ellington Financial IncBroker-Dealer Executive - Operations & Regulatory Oversight (Part-Time)Old Greenwich, CTWhile Armstrong's activities have recently been limited to helping market MBS securitization transactions and executing various transactions for EFC and its affiliate Ellington Credit Company (NYSE:EARN), we are also open to expanding Armstrong's activities, such as proprietary trading and transacting with institutional customers in the REPO and other credit markets. Armstrong is a small, specialized institutional broker-dealer whose activities are currently limited to supporting various functions for its parent company, Ellington Financial (NYSE: EFC), a publicly traded mortgage REIT, and its affiliate Ellington Management Group, an investment advisor with over $20 billion in assets under management.
Broker Assistant Ryan Specialty GroupBroker AssistantNew York, New YorkOur 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.
Analyst, Sales & Trading (US Equities/Options Broker-Dealer) GalaxyAnalyst, Sales & Trading (US Equities/Options Broker-Dealer)New York, NY$110,000–$140,000 / yearWe also invest in and operate cutting-edge data center infrastructure to power AI and high-performance computing, addressing the growing demand for scalable energy and compute in the U.S.We work at the intersection of finance and technology, helping institutions, startups, and developers navigate a digitally native economy. Led by CEO and Founder Michael Novogratz, our team blends deep crypto expertise with institutional experience and a shared commitment to shaping the future of Web3 and AI.Galaxy is headquartered in New York City, with offices across North America, Europe, the Middle East, and Asia.
NewBroker Assistant CRC Insurance Services, LLCBroker AssistantNY$52,000–$65,000 / yearThe core function of this role centers on service execution, documentation quality, and workflow coordination while delivering high-quality support to agents, carriers, and internal partners. Please review the following job description: The Broker Assistant supports brokerage outcomes by coordinating market-facing activity and ensuring timely, accurate execution across placement and servicing.
Broker/Dealer Compliance, Associate Blue Owl Capital IncBroker/Dealer Compliance, AssociateNJ$100,000–$115,000 / yearAnchored by a strong permanent capital base, we provide businesses with private capital solutions to drive long-term growth and offer institutional investors, individual investors, and insurance companies differentiated alternative investment opportunities that aim to deliver strong performance, risk-adjusted returns, and capital preservation. Blue Owl Capital is seeking a compliance professional to join the team responsible for managing the Compliance program for the firm's broker-dealer affiliate, Blue Owl Securities LLC.
Svp, Associate General Counsel - Broker-Dealer Regulatory Compliance LPL Financial ServicesSvp, Associate General Counsel - Broker-Dealer Regulatory ComplianceNew York, NY$213,313–$355,453 / yearThe 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.
Broker/Dealer Compliance, Associate Blue Owl Capital HoldingsBroker/Dealer Compliance, AssociateShort Hills, New JerseyAnchored by a strong permanent capital base, we provide businesses with private capital solutions to drive long-term growth and offer institutional investors, individual investors, and insurance companies differentiated alternative investment opportunities that aim to deliver strong performance, risk-adjusted returns, and capital preservation. Blue Owl Capital is seeking a compliance professional to join the team responsible for managing the Compliance program for the firm’s broker-dealer affiliate, Blue Owl Securities LLC.