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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 ...

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 ...

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 Aug 5, 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?

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.

Is broker dealer operations a stressful job?

Broker dealer operations can be stressful due to the fast-paced nature of financial markets, strict regulatory requirements, and the need for accuracy in transaction processing. Professionals in this role often work under tight deadlines and must stay updated on industry rules, which can contribute to job pressure.

What are the key skills and qualifications needed to thrive in broker dealer operations, 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, 2% As Needed, 88% Full Time, 5% Part Time, and 4% Contract. Highlights an 78% Physical, 7% Hybrid, and 15% Remote job distribution, with an average salary of $50,239 per year, or $24.2 per hour.

Director of Operations | Broker Dealer

BTGPactual International

Miami, FL • On-site

Full-time

Re-posted 5 hours ago

Job description

About the Role
We are seeking a senior Director / Executive Director of Operations to lead the U.S. Broker-Dealer Operations function. This role is based in Miami, reports directly to the Chief Operating Officer, and will be responsible for overseeing daily operations, leading a cross-regional team, supporting business growth, and maintaining a strong operational control environment.
The ideal candidate has deep experience in U.S. broker-dealer operations, including at least 5 years of self-clearing experience, strong regulatory knowledge, and the ability to operate effectively with senior stakeholders across Wealth Management, Retail, Compliance, Finance, Technology, Risk, and external clearing partners.
Key Responsibilities
  • Lead and manage an Operations team across Miami, Rio de Janeiro, and São Paulo, ensuring strong execution, accountability, and service standards.
  • Oversee daily operational routines, including trade support, settlement, cash movements, transfers, reconciliations, corporate actions, billing, exception management, and issue resolution.
  • Conduct regular team meetings, one-on-ones, feedback sessions, and performance discussions to support employee development and career progression.
  • Serve as a senior escalation point for operational issues, client-impacting matters, breaks, and cross-functional dependencies.
  • Support Wealth Management and Retail businesses by implementing new products, services, platforms, and operational workflows.
  • Translate business requirements into operational procedures, controls, project specifications, and technology enhancement requests.
  • Identify and lead initiatives that improve efficiency, reduce manual processes, strengthen controls, and create operational leverage.
  • Act as a key point of contact with clearing firms, including Pershing and Drive Wealth, as well as custodians, transfer agents, vendors, and other operational partners.
  • Apply self-clearing expertise across trade lifecycle, custody, books and records, reconciliations, regulatory reporting, and clearing-related controls.
  • Partner with Compliance, Legal, Risk, Finance, Technology, and senior management to support audits, regulatory reviews, control enhancements, and strategic initiatives.

Qualifications
  • Minimum of 5 years of self-clearing broker-dealer operations experience required.
  • Strong knowledge of U.S. broker-dealer operations, including clearing, custody, settlement, reconciliations, transfers, cash movements, corporate actions, and operational controls.
  • Prior experience in a senior operations leadership role within a broker-dealer, clearing broker, custodian, or financial services platform.
  • Experience supporting Wealth Management, Retail Brokerage, Digital Brokerage, or similar businesses preferred.
  • Proven ability to manage teams across multiple locations and partner with senior business, technology, compliance, and vendor stakeholders.
  • Strong understanding of operational risk, supervisory controls, regulatory obligations, and broker-dealer infrastructure.
  • Excellent communication, leadership, analytical, and problem-solving skills.
  • Ability to operate in a fast-paced, evolving, and growth-oriented environment.

Licenses
  • FINRA Series 24 required.
  • FINRA Series 27 required.

Location & Compensation
  • Location: Miami, Florida
  • Reporting Line: Chief Operating Officer
  • Expected Salary Range: USD 150,000 - USD 200,000, depending on experience, qualifications, licenses, and seniority.

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