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.
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.
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.
Director of Product, Broker-Dealer Betterment Holdings IncDirector of Product, Broker-DealerNew York City, NY$220,000–$250,000 / yearThis is a deeply technical domain, and it requires a leader who gets into the details on topics like tax lot tracking, fee accrual, and trade aggregation, while giving their teams the strategic context behind every priority. In this highly cross-functional role, you''ll represent the critical Broker-Dealer domain to stakeholders and executives across the company, and partner closely with Legal, Compliance, Operations and Capital Markets to navigate the requirements of a highly-regulated environment.
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.
Private Securities, Platform Broker Forge GlobalPrivate Securities, Platform BrokerNew York, NY$100,000–$150,000 / yearWith 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. Our ability to offer these powerful financial solutions has generated incredible interest from investors, demand from customers, and a need to grow our team to meet the needs of more companies, teams, and innovators in this way.
Licensed Customs Broker A.N. Deringer, Inc.Licensed Customs BrokerNYRemote$55,000–$75,000 / yearInterpersonal Skills - Focuses on solving conflict, not blaming; maintains confidentiality; listens to others without interrupting; keeps emotions under control; remains open to others' ideas and tries new things; takes responsibility for own actions; contributes to building a positive team spirit; supports everyone's efforts to succeed. Customer Oriented - Manages difficult or emotional customer situations; responds promptly to customer needs; solicits customer feedback to improve service; demonstrates ability to speak clearly and persuasively in positive and negative situations; listens and gets clarification; responds well to questions.
Broker Dealer Risk Management Vice Present Phaxis LLCBroker Dealer Risk Management Vice PresentJersey City, NJManage the firm's risk exposure due to margin loans, large concentrated trades and volatile market moves, being both proactive and reactive to managing concentration risk, liquidity risk and market volatility on the entire client base. Perform Stress Testing and VaR analysis on complex portfolios; comprised of equities, options, fixed income and futures securities, and ad hoc business and liquidity analysis on key drivers and accounts.
K-12 Sales Specialist (Food Broker) Affinity GroupK-12 Sales Specialist (Food Broker)Farmingdale, NY$65,000–$75,000 / yearUnderstands each of the following for their strategic accounts: menu rotations, population and trends, desired cost structure in each segment of the menu, opportunities to penetrate or convert items, training and education of products, and multiple uses for products. Maintains an up to date profile folder of each customer; utilizes the CRM system weekly to report on sales call activity, updates and follow ups, in addition to customer profile management.
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.
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 Vice President, Broker, Construction Casualty Aon PlcSenior Vice President, Broker, Construction CasualtyNew York, NY$169,900–$250,000 / yearWhat the day will look like You'll be responsible for assessing client needs, designing solutions and negotiating with insurance carriers to obtain coverage that is in a client's best interests Professional who develops and manages client relationships, account strategies and insurance marketing activities. This is a great opportunity to join the Construction & Infrastructure team to broker/consult on behalf of a diversified client base with insurance underwriters in the Casualty insurance discipline.
AML Advisory Team Lead - Broker-Dealer Securities Division StoneX GroupAML Advisory Team Lead - Broker-Dealer Securities DivisionNew York, New York$90,000–$135,000 / 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. 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.
AML Advisory Team Lead Broker Dealer Securities Division StoneX Group IncAML Advisory Team Lead Broker Dealer Securities DivisionNew York, NY$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.
Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer) Capital One Financial CorpTrade Surveillance Principal Associate (Broker-Dealer & Swap Dealer)New York, NY$120,800–$137,900 / yearCore Scenario Coverage: analyze cross-market execution data to detect, evaluate, and disposition core manipulative patterns, including:Spoofing & Layering, Wash Trading, Quote Stuffing, Front-Running: Pinging, Escalation Management: Formally escalate high-risk trading anomalies and potential regulatory breaches to Compliance management in accordance with the firm's escalation matrix. This individual will conduct day-to-day surveillance monitoring, lead deep-dive investigations into complex trading activity, and ensure ongoing compliance with SEC (Securities and Exchange Commission), FINRA (Financial Industry Regulatory Authority), CFTC (Commodity Futures Trading Commission) and NFA (National Futures Association) regulatory requirements and regulatory expectation.
Broker II, Aon Global Client Network Aon PlcBroker II, Aon Global Client NetworkNew York, NY$160,000–$200,000 / yearExceptional knowledge of multinational risk financing/insurance programs and supporting counsel and service with a focus on international casualty programs Strong collaboration and communication skills Multicultural awareness Strong Microsoft Suite skills Exceptional presentation skills Demonstrated Leadership skills Education: Bachelor's degree or equivalent years of industry experience. Skills and experience that will lead to success Minimum 6+ years of experience providing counsel to multinational clients including coordination of service for outward business, negotiating multinational insurance programs, and/or leading collaboration across offices and/or geographies to support multinational risk management/finance practices on behalf of insureds, brokers, and/or insurers.
Senior Broker, Large Property Aon PlcSenior Broker, Large PropertyNew York, NY$145,000–$185,000 / yearEstablish credibility (knowledge/trust) with both clients and Aon peers (grow extensive internal network) Develop technical proficiency demonstrating capabilities to build innovative solutions Possess senior executive client communication and negotiation skills (oral & written) Effectively communicate market/industry perspectives and applications to specific client situation. This is your opportunity to join a high-performing team as a Senior Large Property Broker, where you'll lead the development and execution of strategic risk management solutions for large, global clients across diverse industry sectors.
Broker-Dealer Operations Manager Gusto IncBroker-Dealer Operations ManagerNew York, NY$150,640–$177,000 / yearIn practice, that means regularly applying AI to specific, well-defined tasks, using strong prompting techniques, critically evaluating and refining outputs, build long-running agents integrating with external tools and achieving clear efficiency gains in day-to-day work. You are an expert at building consensus in sensitive regulatory environments, using data and operational insight to convince cross-functional stakeholders of the necessary balance between product innovation, execution velocity, uncompromising financial integrity and compliance requirements.
Senior Healthcare Broker- Risk Management Edgewood Partners Insurance CenterSenior Healthcare Broker- Risk Management1140 Avenue of the Americas 8th Floor, NY$150,000–$175,000 / yearOverview: This position includes working closely with Global Client Executives, primarily focusing on client relations and service delivery to healthcare clients and new business prospects. Fueled and driven by capable, committed people who share common beliefs and values and "bring it" every day, EPIC is always looking for people who have "the right stuff" - people who know what they want and aren't afraid to make it happen.
Assurance Manager - Broker Dealer/Capital Markets RSMAssurance Manager - Broker Dealer/Capital MarketsNew York, NY$89,800–$170,500 / yearSupervise Audit Seniors and Supervisors on engagement teams and function as an in-charge facilitating field work by monitoring and reporting regarding productivity and adherence to work plan schedules on each assignment. If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate.