Director, Head of Markets Regulatory Affairs & Registrations (U.S. Broker-Dealer) MUFG Americas Holdings CorpDirector, Head of Markets Regulatory Affairs & Registrations (U.S. Broker-Dealer)New York, NY$185,000–$242,000 / yearAdditionally, 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.
Broker Dealer Regulatory Reporting Analyst Barclays PlcBroker Dealer Regulatory Reporting AnalystWhippany, NJTo identify, assess and mitigate prudential regulatory reporting risks, provide oversight on regulatory reporting, and maintenance of open communication with regulators to ensure that the bank''s activities and operations comply with all applicable laws, regulations, and internal control policies. Assessment of the effectiveness of the bank's internal control processes and governance framework, including addressing any weaknesses or gaps that could lead to regulatory reporting non-compliance, and implementation of measures to strengthen internal controls.
Excess Casualty Broker, Senior Vice President Aon PlcExcess Casualty Broker, Senior Vice PresidentNew York, NY$175,000–$250,000 / yearExcess Casualty Broker, Senior Vice President The National Casualty Practice is a premier team of casualty brokerage professionals with extensive experience in representing buyers of primary and umbrella/excess liability. What the day will look like Perform the services of an Insurance Broker for Umbrella and Excess policies Advise and execute on the placement of new and renewal P&C programs including crafting submissions.
SVP, Associate General Counsel - Broker-Dealer Regulatory Compliance LPL Financial Holdings IncSVP, 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 II, Middle Market Practice Aon PlcBroker II, Middle Market PracticeNew York, NY$100,000–$150,000 / yearHow this opportunity is different The 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. Broker II, Middle Market Practice As part of an industry-leading team, you will help empower results for our clients by delivering innovative and effective solutions supporting commercial risk.
Reverse Flow Account Executive/Broker- Small and Medium Enterprise Aon PlcReverse Flow Account Executive/Broker- Small and Medium EnterpriseBerkeley Heights, NJ$75,000–$105,000 / yearAs an Account Executive-Reverse Flow with Aon, you will engage with existing clients and pre-identified prospects to ensure appropriate coverage for their needs and recommend additional solutions, where warranted. If a client-focused, technology-driven, and fast-paced environment are something you're looking for, look no further Aon is in the business of better decisions At Aon, we shape decisions for the better to protect and enrich the lives of people around the world.
Account Executive/Broker- Small and Medium Enterprise Aon PlcAccount Executive/Broker- Small and Medium EnterpriseNew York, NY$75,000–$105,000 / yearAs an Account Executive/Broker with Small and Medium Enterprise you will engage with existing clients and prospects to ensure appropriate coverage for their needs and recommend additional solutions, where warranted. We welcome applications from all and provide individuals with disabilities with reasonable adjustments to participate in the job application, interview process and to perform essential job functions once onboard.
Broker Dealer Operations Specialist, Alternative Investments Guardian LifeBroker Dealer Operations Specialist, Alternative InvestmentsNew York, NY$59,110–$88,660 / yearThis preliminary screening may be used to help identify applicant materials and resumes relative to their indication that the applicant meets the requirements for the specific job for which they are applying, as specified in the listing posted on Guardian's jobs website (Careers at Guardian at https://www.guardianlife.com/careers If you would like to request an alternative process that does not utilize AI Tools or would like to request a reasonable accommodation, within ten business days of your position application, you must email your request to MyHR@glic.com, making sure to provide your name and job requisition identification number.
Data Sourcing Specialist (Broker + Alternative Data) WorldQuant LLCData Sourcing Specialist (Broker + Alternative Data)New York, NY$125,000–$175,000 / yearThe successful candidate will partner closely with researchers and portfolio managers to understand their data needs and requirements, and will work cross-functionally with data providers, legal, compliance, data engineering and research management to support the full data lifecycle, including procurement, onboarding, renewals and decommissions. The ideal candidate will identify and source new datasets by building and maintaining relationships with sell-side banks and data providers, attending industry events and conferences, and conducting in-depth research across data exchanges, industry publications, and sell-side materials.
Commercial Real Estate Leasing Broker SimpleCITICommercial Real Estate Leasing BrokerGarden City, NYThe role includes sourcing new business, managing active listings, marketing available space, negotiating lease terms, and executing transactions through lease signing. You will build and maintain long-term relationships with property owners, tenants, and brokers while managing a consistent pipeline of leasing opportunities.
AVP- Cyber and E&O Insurance Broker Aon PlcAVP- Cyber and E&O Insurance BrokerNew York, NY$120,000–$150,000 / yearAon is recognized as one of the industry's best-in-class resources in cyber risk management, and our multidisciplinary team of 600+ global professionals offers strong technical and investigative proficiency, enhanced consulting and risk transfer expertise, long-standing carrier relationships, and robust claims handling capabilities. Own all aspects of client service for your assigned book of business and new business opportunities in coordination with other team members and by using the deal flow process; optimally connect with other team members and administrative staff to ensure accurate prioritization of workflow.
Adult Education Educational Broker-Employment Readiness/Literacy Instructor (Part-Time) BERGEN COUNTY SPECIAL SERVICES SCHOOL DISTRICTAdult Education Educational Broker-Employment Readiness/Literacy Instructor (Part-Time)NJMaster's Degree with at least one year experience developing and leading employment readiness/transition and ESL or HSE workshops/instruction preferred. QUALIFICATIONS: Bachelor's degree with a minimum of at least one year experience providing employment readiness and HSE or ESL workshops/instruction required.
Senior Associate, Trading Operations Broker Dealer Gemini Trust Company LLCSenior Associate, Trading Operations Broker DealerNew York, NY$99,400–$142,000 / yearGemini is a global crypto and Web3 platform founded by Cameron and Tyler Winklevoss in 2014, offering a wide range of simple, reliable, and secure crypto products and services to individuals and institutions in over 70 countries. We envision a world where crypto reshapes the global financial system, internet, and money to create greater choice, independence, and opportunity for all - bridging traditional finance with the emerging cryptoeconomy in a way that is more open, fair, and secure.
Legal, RIA Custody/Broker-Dealer Attorney, Vice President, Dallas/New York City The Goldman Sachs Group IncLegal, RIA Custody/Broker-Dealer Attorney, Vice President, Dallas/New York CityNew York, NY$170,000–$270,000 / yearWe're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. We handle litigation and arbitration, perform research and due diligence, aid in financing and legal filings, deal with contracts and intellectual property rights that show our commitment to clients, shareholders, and regulators.
Regulatory Reporting Quality Assurance, AVP / VP (Broker Dealer regulation) Mizuho Americas Services LLCRegulatory Reporting Quality Assurance, AVP / VP (Broker Dealer regulation)New York, NYFull timeQuality Assurance Unit: The Quality Assurance Unit is responsible for enhancing the integrity of the regulatory reporting processes and reporting issues stem from data quality as well as the overall control environment through performing periodic and on-going assessments of the accuracy, completeness and timeliness of regulatory reports submitted to the U.S. regulators. Operate independently of the day-to-day regulatory report testing and validation processes for the accuracy and completeness of regulatory reports in accordance with regulatory reporting instructions and guidance, regulators' expectations, and industry best practices.
Broker III - Life Sciences Aon PlcBroker III - Life SciencesNew York, NY$173,500–$225,600 / yearYour Impact as a Broker Job Responsibilities: Responsible for broking/placing Clinical Trials, Products Liability, Errors & Omissions Liability, and Excess Liability Market new and renewal business, handling all aspects of the placements from initial market selection through policy delivery to client. Our Life Science Practice is looking for a Senior Broker As part of an industry-leading team, you will help empower results for our clients by delivering innovative and effective solutions for our clients as part of our Life Science Practice Group.
Senior Software Engineer I, Broker Platform Engineering Forge GlobalSenior Software Engineer I, Broker Platform EngineeringNew York, NY$168,000–$200,000 / yearAs a Senior Software Engineer on the Broker Platform team, you will play a key role in delivering high-quality experiences to our Brokers, working with modern, low-latency technologies and implementing software best practices to incrementally advance our trading and broker operations platform. With liquidity solutions, exclusive data and insights, a custody offering, and a vibrant marketplace, Forge's goal is to build the best-in-class technology infrastructure to power a global private market that is transparent, accessible, and seamless for companies, their employees, and investors.
Vice President/Broker II - Financial Services Group Aon PlcVice President/Broker II - Financial Services GroupNew York, NY$150,000–$185,000 / yearHow this opportunity is different The Financial Services Group (FSG) is Aon's dedicated management liability insurance specialty practice with deep experience in directors' and officers' (D&O), employment practices liability (EPL), fiduciary, crime, and kidnap, ransom, and extortion (KRE). Vice President/Broker II - Financial Services Group Currently we have an exciting career opportunity for a Vice President/Broker II (FSG) within Aon Commercial Risk Solutions' Financial Services Group ("FSG").
Associate Broker, Professional Services Group Aon PlcAssociate Broker, Professional Services GroupNew York, NY$75,000–$90,000 / yearThis person would assist in brokering and be responsible for key processes and internal activities in conjunction with the day-to-day servicing of our professional service firm clients including professional liability, management liability, employment practices liability, cyber liability, and other insurance programs. • Participate in, and assist the team with, the delivery of services, advice, and advocacy to clients, largely dealing with their senior-level leadership such as risk managers and offices of general counsel.
AML Advisory Team Lead Broker Dealer Securities Division StoneX Group IncAML Advisory Team Lead Broker Dealer Securities DivisionWarren, NJ$90,000–$125,000 / yearThis 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.