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Director Broker Dealer Operations Jobs (NOW HIRING)

Betterment

Director of Product, Broker-Dealer

New York, NY · Hybrid

$220K - $250K/yr

In this highly cross-functional role, you'll represent the critical Broker-Dealer domain to stakeholders and executives across the company, and partner closely with Legal, Compliance, Operations and ...

Plume

Compliance Director

As the Chief Compliance Officer for Plume's broker-dealer and transfer agent operations, you will ... The CCO will concurrently serve as the AML/Compliance Director for KDAB, overseeing its DABA ...

SPINS

Director, Broker Partners

Chicago, IL · Hybrid

$135K - $150K/yr

Director, Broker Partners The Director, Broker Partners, is responsible for leading SPINS' broker ... They will also lead initiatives that strengthen SPINS' partner ecosystem, improve operational ...

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Director Broker Dealer Operations information

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$107.7K

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

As of Aug 7, 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.
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Director Broker Dealer Operations jobs near you
Infographic showing various Director Broker Dealer Operations job openings in the United States as of August 2026, with employment types broken down into 85% Full Time, 12% Part Time, 1% Temporary, and 2% Contract. Highlights an 94% Physical, 2% Hybrid, and 4% Remote job distribution, with an average salary of $107,680 per year, or $51.8 per hour.

Senior Broker-Dealer Regulatory Compliance Analyst 3632594

Axiom Path

Jersey City, NJ • Hybrid

$55 - $62/hr

Part-time

Posted 28 days ago

Job description

Be Part Of A High-Performing Team

Join a global financial institution recognized for its disciplined approach to risk management, regulatory compliance, and responsible banking. This role supports a finance and strategic planning organization responsible for maintaining strong controls and ensuring that business activities comply with applicable securities regulations and internal governance standards. The environment is highly collaborative, detail-oriented, and focused on accuracy, transparency, and effective risk mitigation.

What’s In Store For You

  • Engagement: W2 only; no C2C or 1099 arrangements
  • Hybrid opportunity based in Jersey City, New Jersey
  • Part-time schedule of approximately 24 hours per week
  • Exposure to complex broker-dealer regulatory requirements and senior financial stakeholders
  • Opportunity to contribute to compliance monitoring, control assessments, regulatory reporting, and remediation initiatives

How You Will Make An Impact

  • Evaluate financial and operational processes for compliance with SEC Rule 15c3-3, internal policies, and applicable industry standards.
  • Review reserve computation, customer protection, possession or control, and related broker-dealer compliance activities.
  • Perform compliance testing, control assessments, and targeted audits to identify regulatory or operational risks.
  • Document findings and prepare clear reports for management, control partners, and relevant stakeholders.
  • Monitor regulatory developments and help translate changes into updated policies, procedures, and controls.
  • Support investigations into potential compliance issues and recommend practical corrective actions.
  • Partner with Finance, Operations, Risk, Legal, and Compliance teams to strengthen adherence to regulatory requirements.
  • Assist with compliance training and communicate regulatory expectations to business partners.

Do You Bring Proven Success in Broker-Dealer Regulatory Compliance?

  • 10 or more years of experience in compliance, regulatory risk, internal audit, broker-dealer operations, finance controls, or a closely related area.
  • Direct knowledge of SEC Rule 15c3-3, including customer protection and broker-dealer control requirements.
  • Experience conducting risk assessments, compliance reviews, control testing, or internal audits.
  • Strong understanding of financial-services regulatory frameworks and control environments.
  • Ability to interpret regulatory requirements and assess their impact on processes, procedures, and reporting.
  • Strong analytical, investigative, research, and written communication skills.
  • Experience preparing compliance findings, management reports, and remediation recommendations.
  • Proficiency with Microsoft Excel, Word, PowerPoint, and compliance or audit management tools.
  • High attention to detail and sound judgment when handling confidential or sensitive information.
  • Ability to work effectively across Finance, Operations, Risk, Legal, Audit, and Compliance teams.
  • Relevant certifications such as CAMS, CRCM, CCEP, CPA, CIA, or Series 7/24 are helpful but not required unless specifically requested by the hiring team.