ZipRecruiter

Log In

1

Broker Dealer Operations Analyst Jobs (NOW HIRING)

SEI Investments

Broker Dealer Analyst

Oaks, PA · On-site

Middle Office Operations Analysts are dedicated to providing the absolute highest level of service ... Coordinate, communicate and process our Broker Dealer Change Process. * Educate the client as well ...

AllianceBernstein L.P.

Broker Dealer Operations is responsible for the support of and custody of AB's Private Wealth ... Strong analytical skills, sound judgment, professional maturity, and willingness to ask questions.

CXG Holdings Inc

NY · On-site

$150K - $175K/yr

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

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Vision insurance Broker-Dealer CEO Location: Smithtown, NY (In-Person) Employment Type: Full-Time ... The successful candidate will provide executive oversight, regulatory guidance, operational ...

Compliance Exchange Group

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Vision insurance Broker-Dealer CEO Location: Smithtown, NY (In-Person) Employment Type: Full-Time ... Operational Management * Supervise registered principals, compliance professionals, operations ...

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Broker-Dealer CEO Location: Smithtown, NY (In-Person) Employment Type: Full-Time Compensation: $150 ... The successful candidate will provide executive oversight, regulatory guidance, operational ...

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Broker-Dealer CEO Location: Smithtown, NY (In-Person) Employment Type: Full-Time Compensation: $150 ... The successful candidate will provide executive oversight, regulatory guidance, operational ...

next page

Showing results 1-20

All JobsFinance And Insurance JobsBank JobsBrokerage Professional JobsBroker Dealer Operations Analyst Jobs

Broker Dealer Operations Analyst information

See salary details

$14

$33

$56

How much do broker dealer operations analyst jobs pay per hour?

As of Sep 10, 2026, the average hourly pay for broker dealer operations analyst in the United States is $33.75, according to ZipRecruiter salary data. Most workers in this role earn between $24.04 and $40.38 per hour, depending on experience, location, and employer.

What is a broker dealer operations analyst?

Broker Dealer Operations Analysts are professionals who support the daily operations of broker-dealer firms, ensuring that trades are processed accurately and in compliance with regulatory requirements. They handle trade settlements, reconciliations, and resolve any discrepancies in transactions. Analysts often liaise between traders, clients, and back-office teams to maintain efficient workflow and minimize operational risk. Their role is crucial in maintaining the integrity and efficiency of financial markets.

What are the key skills and qualifications needed to thrive as a broker dealer operations analyst?

To thrive as a Broker Dealer Operations Analyst, you need strong analytical skills, attention to detail, and a solid understanding of financial markets and securities operations, often supported by a degree in finance or a related field. Familiarity with trade settlement systems, reconciliation tools, and regulatory compliance software such as DTCC or Bloomberg is typically required. Strong problem-solving abilities, effective communication, and the capacity to work under pressure are vital soft skills for this role. These competencies are crucial for ensuring accurate trade processing, regulatory adherence, and smooth workflow within fast-paced financial environments.

What are some common challenges faced by broker dealer operations analysts in managing trade settlements?

Broker Dealer Operations Analysts often encounter challenges such as tight settlement deadlines, handling trade discrepancies, and staying updated with regulatory changes. Ensuring accuracy and timeliness in trade settlements requires strong attention to detail and effective collaboration with traders, counterparties, and compliance teams. Analysts must also adapt to evolving industry standards and technologies, which can add complexity but also offer opportunities for professional growth and skill development.

What is the difference between Broker Dealer Operations Analyst vs Compliance Analyst?

AspectBroker Dealer Operations AnalystCompliance Analyst
CredentialsFINRA Series 7/63, relevant finance certificationsFINRA Series 7/63, compliance certifications
Work EnvironmentFinancial firms, brokerages, trading floorsFinancial institutions, regulatory agencies, brokerages
Employer & Industry UsageUsed in brokerage operations, trading supportUsed in regulatory compliance, risk management
Search & Comparison IntentUnderstanding operational roles in brokeragesComparing compliance responsibilities in finance

The Broker Dealer Operations Analyst focuses on managing daily trading operations, account setups, and ensuring smooth transaction processing within brokerages. In contrast, the Compliance Analyst concentrates on regulatory adherence, monitoring policies, and risk mitigation. While both roles require similar certifications and work in financial environments, their core responsibilities differ—one emphasizes operational support, the other compliance oversight.

What cities are hiring for Broker Dealer Operations Analyst jobs?

Cities with the most Broker Dealer Operations Analyst job openings:

What are popular job titles related to Broker Dealer Operations Analyst jobs?

For Broker Dealer Operations Analyst jobs, the most frequently searched job titles are:

Director of Operations | Broker Dealer

Miami, FL • On-site

BTGPactual International
See more jobs at BTGPactual Internationalexternal

Full-time

Re-posted 6 days 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

By submitting this application, I agree to share the information above. Your information will only be used to evaluate the applicationprocess and talent database for BTG Pactual and its subsidiaries in accordance with our privacy policy.

Apply