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Broker Dealer Operations Analyst Jobs (NOW HIRING)

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 ... Analyze existing workflows, recommend enhancements, and implement automation initiatives to boost ...

Finalis

The Broker-Dealer Compliance Specialist supports Finalis's supervisory and compliance program ... Strong analytical skills, sound judgment, and excellent attention to detail. * Ability to identify ...

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 ... Analyze existing workflows, recommend enhancements, and implement automation initiatives to boost ...

Gusto

Brokerage Operations Leader

Manhattan, NY · On-site

$150 - $200/hr

... A to build Gusto's first-of-its-kind carrying broker-dealer. You are an expert at building ... You own the operational foundation that unlocks Gusto's opportunities to expand our investment ...

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 ... Analyze existing workflows, recommend enhancements, and implement automation initiatives to boost ...

Gusto

Brokerage Operations Leader

Denver, CO · On-site

$150 - $200/hr

... A to build Gusto's first-of-its-kind carrying broker-dealer. You are an expert at building ... You own the operational foundation that unlocks Gusto's opportunities to expand our investment ...

Gusto, Inc.

Head of Brokerage Operations

Denver, NY · On-site

... A to build Gusto's first-of-its-kind carrying broker-dealer. You are an expert at building ... You own the operational foundation that unlocks Gusto's opportunities to expand our investment ...

Gusto, Inc.

Head of Brokerage Operations

Denver, CO · On-site +1

... A to build Gusto's first-of-its-kind carrying broker-dealer. You are an expert at building ... You own the operational foundation that unlocks Gusto's opportunities to expand our investment ...

Green Key Resources

Broker Dealer CCO

Manhattan, NY · On-site

The CCO will work closely with senior management, legal, trading, operations, portfolio management ... Is a self-starter with strong analytical, organizational, and problem-solving skills. * Has ...

Moomoo

Director of Brokerage Operations

Jersey City, NJ · On-site

Note that this entity is not a licensed broker-dealer. For deeper insights into our entities and ... Analyze existing workflows, recommend enhancements, and implement automation initiatives to boost ...

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Broker Dealer Operations Analyst information

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$14

$33

$56

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

As of Sep 11, 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 Brokerage Operations

Jersey City, NJ • On-site

moomoo
Finance and Insurance • 1 - 5K employees
Learn more about moomooexternal

$100K - $145K/yr

Full-time

Medical, Retirement, PTO

Re-posted 13 hours ago

Job description

About Futu US Inc.:
Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage - all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU).
Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth management platform that's designed to elevate the investment experience.
Here's a closer look at our key entities:
  • Futu Clearing Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally.
  • Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring your investment journey is backed by expertise.
  • Moomoo Technology Inc.: Offering a data-rich trading platform, we provide unparalleled insights and tools to enhance your trading strategies. Note that this entity is not a licensed broker-dealer.

For deeper insights into our entities and affiliates, explore futuclearing.com or moomoo.com/us to discover the future of investing with confidence and innovation.
About our role:
We are seeking an experienced Operations Director to join our dynamic team within our Broker-Dealer operations. The ideal candidate will play a pivotal role in ensuring seamless operational processes, mitigating risk, and maintaining compliance with regulatory standards. This position requires a proactive approach to identifying inefficiencies, implementing controls, and optimizing procedures to enhance operational effectiveness.
Key Responsibilities:
  • Operational Oversight: Monitor daily operations, trade settlements, reconciliations, and financial transactions to ensure accuracy and compliance.
  • Risk Management: Identify, assess, and mitigate operational risks, developing strategies to enhance controls and minimize errors.
  • Regulatory Compliance: Ensure adherence to SEC, FINRA, and other regulatory requirements while maintaining proper documentation and reporting.
  • Process Improvement: Analyze existing workflows, recommend enhancements, and implement automation initiatives to boost efficiency.
  • Audit & Internal Controls: Collaborate with internal audit teams to ensure all processes align with industry best practices and regulatory standards.
  • Cross-functional Coordination: Work closely with Clearing, Finance, AML, Compliance, Cash Management and Stock Transfer teams to streamline operations.
  • Issue Resolution: Investigate trade discrepancies, reconcile accounts, and resolve escalated operational issues with precision and urgency.

Requirements
  • 10+ years of experience in Operations Control within a Broker-Dealer environment.
  • Strong understanding of SEC, FINRA, and regulatory frameworks governing Broker-Dealer operations.
  • Expertise in trade reconciliations, risk management, and compliance monitoring.
  • Proficiency in industry systems (e.g., DTCC, OCC, Bloomberg, or similar platforms).
  • Exceptional analytical and problem-solving skills with attention to detail. Effective communication and collaboration abilities in a fast-paced environment.
  • Understanding of an omnibus clearing model

Benefits
What We Offer:
  • Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents
  • 401k Employer Contribution: We match your contributions to help you grow your retirement savings
  • Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy
  • Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work
  • Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success

Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $100,000 - $145,000. This role is also eligible to participate in our discretionary bonus plan.
Disclaimer:
The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.
Employment with Futu Holdings Limited, including all subsidiaries, is on an at-will basis. This means that either the employee or the Company may terminate the employment relationship at any time, with or without notice and with or without cause, subject to applicable law. Nothing in this job posting or description should be construed as creating an express or implied contract of employment or guarantee of employment for any specific duration.
Futu Holdings Limited, including all subsidiaries, is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law.
Warning about fake job posts:
Please be aware of fraudulent job postings by persons not affiliated with Futu, Moomoo, or their affiliates. Criminals may use fraudulent job postings to obtain your personally identifiable information and/or financial information to steal your identity and/or money.
All communications to you will come from a business email address. We do not hire through text message, social media, or email alone, and any interviews will be conducted in person or through a video call. We will not ask you for bank account information nor ask you to pay anything during the hiring process.
If you see suspicious activity or believe that you have been the victim of a job posting scam, you should report it to your local FBI field office or to the FBI's Internet Crime Complaint Center.

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