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Broker Dealer Operations Jobs (NOW HIRING)

CXG Holdings Inc

NY · On-site

$150 - $175/hr

Vision insurance Managing Director / Broker-Dealer Services Location: Smithtown, NY (In-Person ... The successful candidate will provide executive oversight, regulatory guidance, operational ...

Huntington

Broker Dealer Ops Analyst 2

Columbus, OH · On-site +1

The Huntington Securities, Inc. (HSI) Broker Dealer Ops Analyst 2, New Account Onboarding ... Support operations of other institutional sales and trading products, such as ICS/CDARs and Money ...

Huntington

Broker Dealer Ops Analyst 2

Columbus, OH · On-site +1

The Huntington Securities, Inc. (HSI) Broker Dealer Ops Analyst 2, New Account Onboarding ... Support operations of other institutional sales and trading products, such as ICS/CDARs and Money ...

Huntington

Broker Dealer Ops Analyst 2

Columbus, OH · On-site +1

In this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you may participate in special projects to ...

moomoo

Director of Brokerage Operations

Jersey City, NJ · On-site

$100K - $145K/yr

Note that this entity is not a licensed broker-dealer. For deeper insights into our entities and ... Key Responsibilities: * Operational Oversight: Monitor daily operations, trade settlements ...

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How much do broker dealer operations jobs pay per hour?

As of Jul 16, 2026, the average hourly pay for broker dealer operations in the United States is $24.15, according to ZipRecruiter salary data. Most workers in this role earn between $15.38 and $27.64 per hour, depending on experience, location, and employer.

What are the typical daily responsibilities of someone in Broker Dealer Operations?

Professionals in Broker Dealer Operations are responsible for ensuring accurate trade processing, settlement, and reconciliation of securities transactions on a daily basis. Their work often involves coordinating with trading desks, custodians, and compliance teams to resolve trade breaks, monitor regulatory reporting, and address any operational issues that arise. Daily tasks may also include updating internal systems, maintaining client account records, and supporting audit or compliance reviews. This role is critical to the smooth functioning of trading activities and requires close teamwork with various departments to uphold operational efficiency and regulatory standards.

What is a Broker Dealer Operations job?

A Broker Dealer Operations job involves managing the back-office functions that support trading, compliance, settlements, and regulatory reporting for a brokerage firm. Professionals in this role ensure that trades are processed correctly, client accounts are maintained, and financial transactions comply with industry regulations. Their responsibilities may include reconciliation, trade confirmation, and risk management. Strong attention to detail, knowledge of financial markets, and familiarity with SEC and FINRA regulations are essential for success in this field.

What are the key skills and qualifications needed to thrive in the Broker Dealer Operations position, and why are they important?

To thrive in Broker Dealer Operations, you need a solid understanding of financial markets, securities processing, compliance regulations, and strong analytical skills, often supported by a bachelor's degree in finance or a related field. Familiarity with trade settlement systems (such as DTCC), Bloomberg, and knowledge of FINRA or SEC regulations and relevant certifications like Series 7 or Series 63 are commonly advantageous. Exceptional attention to detail, problem-solving abilities, and effective communication skills help professionals excel when addressing internal and client-facing challenges. These competencies are essential to ensure efficient trading operations, mitigate risk, and maintain regulatory compliance in a fast-paced financial environment.

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Broker Dealer Operations jobs near you
Infographic showing various Broker Dealer Operations job openings in the United States as of July 2026, with employment types broken down into 1% Locum Tenens, 89% Full Time, 5% Part Time, and 5% Contract. Highlights an 78% Physical, 6% Hybrid, and 16% Remote job distribution, with an average salary of $50,239 per year, or $24.2 per hour.
Broker Dealer Operations Administrator

Broker Dealer Operations Administrator

Horace Mann

Cherry Hill, NJ • Hybrid

$21.44 - $29.16/hr

Other

Posted 16 days ago

Job description

BCG Securities, a subsidiary of Horace Mann is seeking a detail-oriented and customer-focused Broker Dealer Operations Administrator to join our Broker-Dealer Operations team. In this role, you'll play an integral part in supporting our registered representatives and ensuring operational excellence across account administration, asset movement, and regulatory compliance.

As a trusted operational partner, you'll help facilitate the onboarding of new clients, manage account maintenance activities, and collaborate with internal teams and our clearing firm to deliver a seamless advisor and client experience. If you thrive in a fast-paced, highly regulated environment and enjoy solving problems while supporting financial professionals, we'd love to hear from you.

Key Responsibilities

Broker-Dealer Operations

  • Process operational requests including asset movements, account transfers, and account maintenance activities.
  • Assist registered representatives with client onboarding, account setup, and operational support.
  • Monitor pending requests, follow up on outstanding documentation, and escalate issues when appropriate.
  • Partner with our clearing custodian to resolve account transfer and transaction-related inquiries.

Regulatory Compliance & Administration

  • Ensure operational activities comply with FINRA, SEC, and company regulatory requirements.
  • Support internal audits, reporting requirements, and recordkeeping obligations.
  • Maintain accurate documentation and operational records in accordance with regulatory standards.
  • Handle confidential client and company information with the highest level of professionalism and discretion.

Customer & Advisor Support

  • Build strong working relationships with registered representatives by responding to operational inquiries and providing timely guidance.
  • Deliver exceptional service by resolving operational issues efficiently and accurately.
  • Communicate effectively with internal departments, business partners, and external vendors to facilitate timely resolution of requests.

Process Improvement & Operational Excellence

  • Coordinate with department leadership to maintain efficient workflows and service levels.
  • Identify opportunities to improve operational processes, increase accuracy, and enhance the advisor experience.
  • Participate in special projects related to broker-dealer operations, regulatory initiatives, system enhancements, and business process improvements.
  • Perform additional duties and responsibilities as assigned.

Qualifications & Experience

Required

  • Business degree or equivalent professional experience required.
  • Must obtain FINRA Securities Industry Essentials (SIE) and Series 7 licenses within six months of hire.
  • Strong organizational skills with the ability to manage multiple priorities in a fast-paced environment.
  • Ability to handle confidential information with discretion and professionalism.
  • Ability to work independently while maintaining strong collaboration with team members.

Skills & Competencies

  • Strong customer service and relationship management skills.
  • Excellent verbal and written communication skills.
  • High attention to detail and commitment to operational accuracy.
  • Strong analytical and problem-solving abilities.
  • Ability to identify opportunities for continuous process improvement.
  • Adaptability and ability to manage multiple projects simultaneously.

Additional Information

  • Normal office environment - hybrid 3 days a week in office.
  • Periodic travel may be required.

Pay Range:

  • $21.44- $29.16/hr. 

Salary is commensurate to experience, location, etc.

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