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Chief Operating Officer Broker Dealer Jobs (NOW HIRING)

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Active FINRA Series 7 License. * 7+ years of broker-dealer industry experience. * 3+ years in a leadership role, including CEO, President, COO, CCO, Managing Director, or equivalent executive ...

Compliance Exchange Group

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Active FINRA Series 7 License. * 7+ years of broker-dealer industry experience. * 3+ years in a leadership role, including CEO, President, COO, CCO, Managing Director, or equivalent executive ...

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Active FINRA Series 7 License. * 7+ years of broker-dealer industry experience. * 3+ years in a leadership role, including CEO, President, COO, CCO, Managing Director, or equivalent executive ...

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Active FINRA Series 7 License. * 7+ years of broker-dealer industry experience. * 3+ years in a leadership role, including CEO, President, COO, CCO, Managing Director, or equivalent executive ...

CXG Holdings Inc

NY · On-site

$150K - $175K/yr

Former broker-dealer CEOs, Presidents, Chief Compliance Officers, Chief Operating Officers, and senior broker-dealer executives are encouraged to apply. Position Overview The Managing Director will ...

Allview Real Estate

COO

Newport Beach, CA · On-site

$150K/yr

... brokerage, development, syndication, consulting), Trustie Co (a full suite of home service ... Chief Operating Officer | Real Estate & Home Services | Southern California Position at a Glance ...

AppJaxx

Chief Operating Officer

Nashville, TN

... business brokers, and B2B service providers in scaling through LinkedIn lead generation ... Position Overview The COO will oversee day-to-day operations, process optimization, team ...

Initio Capital

Chief Operating Officer (COO)

New York, NY · Remote

$145K - $185K/yr

Job Summary Chief Operating Officer (COO) Initio Capital Full-time, Part-time, Contract, Temporary, Internship, Casual Remote | New York, NY, United States Chief Operating Officer (COO) - Initio ...

GHJ

Chief Operating Officer (COO)

Los Angeles, CA

$350K - $450K/yr

The COO will lead the firm's non-attorney administrative functions, with a particular focus on ... Oversee benefits strategy and renewals, including relationships with brokers and providers * Lead ...

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Chief Operating Officer Broker Dealer information

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$151.2K

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How much do chief operating officer broker dealer jobs pay per year?

As of Sep 13, 2026, the average yearly pay for chief operating officer broker dealer in the United States is $151,203.00, according to ZipRecruiter salary data. Most workers in this role earn between $111,500.00 and $185,000.00 per year, depending on experience, location, and employer.

What is a chief operating officer at a broker dealer?

A Chief Operating Officer (COO) at a broker dealer is a senior executive responsible for overseeing the daily operations and business functions of the firm. The COO ensures that all processes comply with industry regulations, manages risk, and coordinates between various departments such as compliance, trading, and client services. They help implement the company’s strategic vision, improve operational efficiency, and support growth initiatives. Their role is critical in maintaining the firm's standards and ensuring smooth, compliant operation in a fast-paced financial environment.

What are some of the key challenges a chief operating officer faces when managing operations at a broker-dealer firm?

A Chief Operating Officer (COO) at a broker-dealer firm often navigates complex regulatory requirements, ensuring that the firm's operations remain compliant with SEC, FINRA, and other industry regulations. Balancing operational efficiency with risk management, while supporting business growth and client service excellence, can be demanding. Additionally, COOs frequently coordinate between different departments like compliance, trading, technology, and finance, which requires strong communication and leadership skills. Staying updated on evolving market practices and integrating new technologies are also ongoing challenges in this role.

What are the key skills and qualifications needed to thrive as a chief operating officer at a broker dealer, and why are they important?

To thrive as a Chief Operating Officer at a Broker Dealer, you need extensive experience in securities industry operations, regulatory compliance, and strategic management, often supported by a relevant degree and FINRA Series 7 and 24 licenses. Familiarity with trading platforms, risk management systems, and compliance monitoring tools is essential. Strong leadership, decisive problem-solving, and excellent interpersonal communication are the soft skills that distinguish top performers in this role. These capabilities are crucial for ensuring operational efficiency, regulatory adherence, and the effective alignment of business objectives in a highly regulated financial environment.

What are popular job titles related to Chief Operating Officer Broker Dealer jobs?

For Chief Operating Officer Broker Dealer jobs, the most frequently searched job titles are:

Infographic showing various Chief Operating Officer Broker Dealer job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 79% Full Time, 15% Part Time, 4% Contract, and 1% Nights. Highlights an 95% Physical, 1% Hybrid, and 4% Remote job distribution, with an average salary of $151,203 per year, or $72.7 per hour.

Broker-Dealer CEO

Smithtown, NY • On-site

CXG Holdings Inc
See more jobs at CXG Holdings Incexternal

$150K - $175K/yr

Full-time

Re-posted 10 days ago

Job description

 Broker-Dealer CEO

Location: Smithtown, NY (In-Person)
Employment Type: Full-Time
Compensation: $150,000 – $175,000 Base Salary + Performance Bonus + Long-Term Growth Opportunity
About Compliance Exchange Group

Compliance Exchange Group (CXG) is one of the nation's leading broker-dealer consulting, executive leadership, and compliance firms. For more than a decade, we have helped broker-dealers launch, operate, and grow through executive leadership, regulatory expertise, compliance management, and operational support.
Having successfully completed hundreds of broker-dealer registrations with a 100% FINRA and SEC approval rate, CXG has earned a reputation as one of the industry's most trusted partners for broker-dealer formation, executive management, and regulatory success.
As our firm continues to expand, we are seeking an experienced broker-dealer executive to join our leadership team at our Smithtown, New York headquarters.
Position Overview

The Managing Director will play a key leadership role within CXG and the broker-dealer organizations we support.
The successful candidate will provide executive oversight, regulatory guidance, operational leadership, and strategic direction while working closely with senior management, regulators, attorneys, and industry professionals.
This is a long-term leadership opportunity for an individual who enjoys building organizations, solving complex regulatory and operational challenges, and making a meaningful impact on the growth and success of financial services firms.
Responsibilities

Executive Leadership

  • Provide executive leadership and strategic direction for broker-dealer operations.
  • Participate in business planning, growth initiatives, and organizational development.
  • Serve in senior executive capacities, including CEO and/or Chief Compliance Officer functions where appropriate.
  • Advise firm owners and executive management on operational, regulatory, and strategic matters.
  • Participate in executive meetings, board meetings, and strategic planning sessions.
Regulatory & Compliance Oversight

  • Maintain direct interaction with FINRA, SEC, state regulators, auditors, and legal counsel.
  • Participate in regulatory examinations, inquiries, and audits.
  • Oversee supervisory systems, compliance programs, and risk management initiatives.
  • Ensure adherence to applicable FINRA, SEC, and state regulatory requirements.
  • Assist with regulatory filings, business changes, and strategic growth initiatives.
Operational Management

  • Supervise registered principals, compliance professionals, operations personnel, and support staff.
  • Review and approve operational changes, new business activities, and strategic initiatives.
  • Help improve operational efficiency and regulatory readiness.
  • Collaborate with internal teams to support organizational and client success.
Business Development & Relationship Management

  • Build and maintain strong relationships with clients, regulators, attorneys, and industry professionals.
  • Represent the firm at industry events, conferences, and networking opportunities.
  • Identify opportunities to strengthen client relationships and support firm growth.
  • Contribute to business development initiatives and strategic expansion efforts.
Qualifications

Required

  • Active FINRA Series 24 License.
  • Active FINRA Series 7 License.
  • 7+ years of broker-dealer industry experience.
  • 3+ years in a leadership role, including CEO, President, COO, CCO, Managing Director, or equivalent executive position.
  • Strong knowledge of FINRA, SEC, AML, and broker-dealer regulations.
  • Experience interacting directly with regulators and managing examinations.
  • Strong leadership, communication, and organizational skills.
  • Ability to work full-time from our Smithtown, New York office.
Preferred

  • MBA or advanced business degree.
  • Previous broker-dealer CEO experience.
  • Previous Chief Compliance Officer experience.
  • Experience with startup broker-dealers.
  • Experience with FINRA Rule 1017 filings and material business changes.
  • Additional FINRA licenses including Series 4, 27, 53, or 79.
  • RIA experience.
  • Experience with mergers, acquisitions, or strategic transactions.
What We Offer

  • Competitive compensation package.
  • Performance-based bonus opportunities.
  • Long-term career growth within an expanding organization.
  • Meaningful executive leadership responsibilities.
  • Direct exposure to broker-dealer owners, regulators, and industry leaders.
  • Opportunity to build a high-impact career while remaining on Long Island.
  • Collaborative, entrepreneurial, and growth-oriented culture.
  • Opportunity to work alongside some of the most experienced broker-dealer professionals in the industry.
If you are an experienced broker-dealer professional seeking a leadership role with significant responsibility, growth potential, and long-term opportunity, we encourage you to apply.