ZipRecruiter

Log In

1

Director Broker Dealer Operations 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 ... We are seeking an experienced Operations Director to join our dynamic team within our Broker-Dealer ...

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 ... We are seeking an experienced Operations Director to join our dynamic team within our Broker-Dealer ...

next page

Showing results 1-20

All JobsDirector Broker Dealer Operations Jobs

Director Broker Dealer Operations information

See salary details

$34K

$107.7K

$179.5K

How much do director broker dealer operations jobs pay per year?

As of Jun 15, 2026, the average yearly pay for director broker dealer operations in the United States is $107,680.00, according to ZipRecruiter salary data. Most workers in this role earn between $75,500.00 and $135,500.00 per year, depending on experience, location, and employer.
More about Director Broker Dealer Operations jobs
What cities are hiring for Director Broker Dealer Operations jobs? Cities with the most Director Broker Dealer Operations job openings:
What are the most commonly searched types of Broker Dealer Operations jobs? The most popular types of Broker Dealer Operations jobs are:
What states have the most Director Broker Dealer Operations jobs? States with the most job openings for Director Broker Dealer Operations jobs include:
What job categories do people searching Director Broker Dealer Operations jobs look for? The top searched job categories for Director Broker Dealer Operations jobs are:
Director Broker Dealer Operations jobs near you
Infographic showing various Director Broker Dealer Operations job openings in the United States as of June 2026, with employment types broken down into 2% As Needed, 13% Full Time, and 85% Part Time. Highlights an 95% Physical, 2% Hybrid, and 3% Remote job distribution, with an average salary of $107,680 per year, or $51.8 per hour.
Managing Director / Broker-Dealer Services

Managing Director / Broker-Dealer Services

Compliance Exchange Group

Smithtown, NY • On-site

$150K - $175K/yr

Full-time

Dental, Vision, Retirement, PTO

Posted 11 days ago

Job description

Benefits:
  • Bonus based on performance
  • Competitive salary
  • Flexible schedule
  • Opportunity for advancement
  • Paid time off
  • Training & development
  • 401(k)
  • 401(k) matching
  • Dental insurance
  • Parental leave
  • Vision insurance

Managing Director / Broker-Dealer Services
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.
Why This Opportunity?
This position is ideal for an experienced securities industry professional seeking a meaningful leadership role with long-term growth potential.
Rather than commuting into New York City each day, you'll work directly from our Smithtown office alongside a team of experienced broker-dealer professionals and executives, helping shape the future of both our organization and the firms we support.
You'll have the opportunity to work directly with broker-dealer owners, regulators, attorneys, auditors, and industry leaders while contributing to some of the most dynamic and complex projects in the securities industry.
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 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.
Compensation: $150,000.00 - $175,000.00 per year
About CXG
Compliance Exchange Group (CXG) supports broker-dealers and financial services firms as they navigate complex regulatory environments and build sustainable, compliant businesses. We specialize in broker-dealer consulting and Chief Compliance Officer outsourcing, providing end-to-end support across compliance and finance functions.
Our team includes experienced professionals serving in roles such as:
  • Chief Compliance Officers
  • FINOPs
  • Licensed Principals
  • Series 4 - Registered Options
  • Series 24 - General Securities
  • Series 79 - Investment Banking

CXG professionals bring deep, practical experience. Many have helped build broker-dealers from the ground up and have held leadership roles including CEO, CFO, CCO, FINOP, and board positions. This real-world background allows us to approach our work thoughtfully, pragmatically, and with a strong understanding of how firms grow.
We work with startups seeking FINRA approval as well as small- to mid-sized firms looking to scale responsibly. Our focus is on delivering solutions that are practical, collaborative, and built to last.
At CXG, we value professionalism, integrity, and clear communication - both with our clients and with one another. We are building a team of people who take pride in their work, support one another, and want to grow alongside the company.

Apply