ZipRecruiter

Log In

1

Vice President Broker Dealer Operations Jobs (NOW HIRING)

CXG Holdings Inc

NY · On-site

$150 - $175/hr

... management, and operational support. Having successfully completed hundreds of broker-dealer ... Former broker-dealer CEOs, Presidents, Chief Compliance Officers, Chief Operating Officers, and ...

NFP Corp

VP, Asset Management Operations

Manhattan, NY · On-site

$117K - $200K/yr

Summary: The Vice President, Asset Management Operations is responsible for supporting the ... Support adherence to FINRA, SEC, and Broker Dealer requirements * Monitor operational metrics tied ...

NFP Corp

VP, Asset Management Operations

Manhattan, NY

$117K - $200K/yr

Summary: The Vice President, Asset Management Operations is responsible for supporting the ... Support adherence to FINRA, SEC, and Broker Dealer requirements * Monitor operational metrics tied ...

NFP Corp

VP, Asset Management Operations

Manhattan, NY · On-site

$117K - $200K/yr

Summary: The Vice President, Asset Management Operations is responsible for supporting the ... Support adherence to FINRA, SEC, and Broker Dealer requirements * Monitor operational metrics tied ...

Aon

VP, Asset Management Operations

Manhattan, NY · On-site

$117K - $200K/yr

Summary: The Vice President, Asset Management Operations is responsible for supporting the ... Support adherence to FINRA, SEC, and Broker Dealer requirements * Monitor operational metrics tied ...

next page

Showing results 1-20

All JobsVice President Broker Dealer Operations Jobs

Vice President Broker Dealer Operations information

See salary details

$68.5K

$155.8K

$264K

How much do vice president broker dealer operations jobs pay per year?

As of Aug 5, 2026, the average yearly pay for vice president broker dealer operations in the United States is $155,780.00, according to ZipRecruiter salary data. Most workers in this role earn between $115,500.00 and $185,000.00 per year, depending on experience, location, and employer.
What cities are hiring for Vice President Broker Dealer Operations jobs? Cities with the most Vice President 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 Vice President Broker Dealer Operations jobs? States with the most job openings for Vice President Broker Dealer Operations jobs include:
What job categories do people searching Vice President Broker Dealer Operations jobs look for? The top searched job categories for Vice President Broker Dealer Operations jobs are:
Vice President Broker Dealer Operations jobs near you
Infographic showing various Vice President Broker Dealer Operations job openings in the United States as of July 2026, with employment types broken down into 1% Locum Tenens, 2% As Needed, 88% Full Time, 5% Part Time, and 4% Contract. Highlights an 78% Physical, 7% Hybrid, and 15% Remote job distribution, with an average salary of $155,780 per year, or $74.9 per hour.

AVP / VP Broker Dealer Compliance

Phyton Talent Advisors

New York, NY • On-site

$165K/yr

Other

Posted 6 days ago

Job description

Our client is seeking a Compliance Officer with 7-10 years of compliance experience within a self-clearing broker-dealer. This role will support the firm's regulatory compliance program, provide guidance to front office and operations teams, and help ensure adherence to SEC, FINRA, and exchange rules. The ideal candidate has a strong understanding of investment banking activities, trade execution, and broker-dealer policies and procedures.
Responsibilities
  • Maintain and enhance the firm's compliance policies, procedures, and supervisory framework.
  • Provide compliance guidance to investment banking, sales and trading, and operations teams.
  • Review business activities to ensure compliance with SEC, FINRA, and applicable regulatory requirements.
  • Monitor trade execution practices and support surveillance, exception reviews, and issue resolution.
  • Assist with regulatory examinations, audits, inquiries, and internal compliance reviews.
  • Partner with Legal, Risk, Operations, and business management on new products, initiatives, and regulatory changes.
  • Support employee training and promote a strong culture of compliance.
  • Research and interpret new regulations and recommend updates to policies and procedures.
  • Assist with regulatory filings, reporting, and documentation as required.

Qualifications
  • 7-10 years of compliance experience at a self-clearing broker-dealer.
  • Strong knowledge of broker-dealer regulations, investment banking, and trade execution.
  • Experience developing, maintaining, and interpreting compliance policies and procedures.
  • Solid understanding of SEC, FINRA, and exchange rules.
  • Excellent analytical, communication, and problem-solving skills.
  • Ability to work effectively with senior business leaders and cross-functional teams.

Licenses
  • FINRA Series 24 license required.

Apply