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Bachelor's degree in accounting or finance required; advanced degree and CPA designation strongly preferred. Minimum 10 years of experience in Operations or Finance as a FINOP or in a comparable role at a self-clearing broker-dealer, with deep expertise in broker-dealer operations and regulatory rep

Audit & Assurance professionals demonstrate deep specialization through an understanding of the market and business challenges their clients face and a dedication to audit quality. The Audit & Assurance team at Crowe provides traditional attestation services as well as accounting and consulting on a

A leading financial institution is seeking a Director of Software Engineering to oversee technical areas and manage departmental activities at their Jersey City location.This role requires extensive experience in consumer banking and software engineering, along with proven leadership in architecting

Leverage Galaxy Securities' unique position as a broker-dealer within a crypto-native firm to develop innovative cross-asset products and solutions for institutional clients. Contribute to the build-out and enhancement of Galaxy's broker-dealer execution capabilities in U. Analyst, Sales & Trading (

As a Private Client Advisor in Chase Wealth Management, you will offer comprehensive financial planning and advice to individuals and families. At least 2 years in a Financial Advisor role or equivalent financial services experience. Morgan Securities LLC (JPMS), a registered broker-dealer and inves

Ideal candidates will have 7–10 years of institutional sales experience, specifically in banking and broker-dealer environments.

Your journey at Crowe starts here:. At Crowe, you can build a meaningful and rewarding career. Join us at Crowe and embark on a career where you can help shape the future of our industry.

Experience in Operations, Finance, Compliance, Risk Management, or Treasury is a plus. Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking an EVP of Finance & Operations to oversee the self-clearing brokerage operations, related affiliates and serve as a member

This position offers a competitive salary and is ideal for candidates with previous in-house experience at a broker-dealer or registered investment adviser.

Whether you’re an experienced attorney or a quick learner with a strong interest in financial law coupled with critical thinking skills, our dynamic group might be right for you. The Legal Division is looking for an attorney with 8 plus years’ experience to join the Global Banking and Markets Le

Broker Dealer Regulatory Specialist. Volt is immediately hiring for Broker Dealer Regulatory Specialist in Jersey City, NJ. Develop, maintain, enhance, and validate regulatory reporting policies and procedures ensuring continued compliance with applicable regulations.

As a Private Client Advisor in Chase Wealth Management, you will offer comprehensive financial planning and advice to individuals and families. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Your expertise will support a wide range of clien

Associate Vice President, Broker Dealer Compliance. The Company is seeking an Associate Vice President for Broker Dealer Compliance to join its U. Applicants for this role at the company should have a strong background in FINRA regulatory and broker-dealer compliance, with direct experience in U4/U5

A prominent financial institution located in Jersey City, NJ, seeks a Director of Software Engineering to lead technical initiatives within its Commercial and Investment Bank.This role requires 10+ years of software engineering experience, including 5+ years in leadership.Candidates should have expe

As the Director of Software Engineering at JPMorgan Chase within Commercial and Investment Bank Broker Dealer Platform, you will oversee multiple technical areas, manage the activities of several departments, and foster collaboration across various technical domains. Serve as the primary technology

The RIA Custody business is an execution, clearing and custody platform that serves independent RIAs. The key responsibilities of the position will be supporting Goldman Sachs’ custody business for registered investment advisors (RIA Custody business). Advise on the strategy, development, integrat

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. About our role: We are looking for a highly motivated and outgoing Financial Customer Experience Associate to support moomoo's in-person activations in our NYC Brand Store. In this role, you will be driving sales, building customer relationships, and handling live customer support. This role combines financial expertise, client relationship management, and event leadership to deliver an exceptional in-person customer experience. You will drive client acquisition, support store activations, and ensure compliance with FINRA and SEC regulations. This is a hands-on position perfect for someone who thrives in high-energy environments, excels at client engagement, and has a deep passion for finance and the U.S. stock market. Requirements Key Responsibilities: • Financial Expertise - Learn and maintain a deep understanding of moomoo's history, mission, product features, trading tools, and customer promotions to effectively communicate value to clients, • Sales & Promotions Management - Support the on-site sales and promotion efforts, • Client Support - Provide exceptional client support by answering incoming questions about moomoo products and services, • Sales & Inventory Tracking - Track and report merchandise inventory, sales, and customer conversion data each day, • Financial Market Awareness - Stay current on market news, trends, and economic events, and effectively communicate relevant insights to customers, • Compliance - Ensure all marketing and sales activities comply with FINRA and SEC guidelines Qualifications: • Must have or be willing to get SIE upon being hired. FINRA Series 7 and 63 licenses required for the position: preferred upon hiring but must be obtained within 180 days of hire., • Must have knowledge of options and trading strategies, • 1+ years of experience in sales and/or customer service within a financial services company, • Strong personal trading experience (preferred), • In-depth knowledge of FINRA and SEC marketing guidelines, • Deep understanding of trading products, services, and the U.S. stock market, • Excellent leadership, communication, and customer engagement skills What We Offer: • Competitive salary and performance-based bonuses., • Comprehensive benefits package, including health, dental, and retirement plans., • Opportunities for professional growth and development., • A dynamic and collaborative work environment. 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 $50,000-$70,000. 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. 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.

As the Director of Software Engineering at JPMorgan Chase within Commercial and Investment Bank Broker Dealer Platform, you will oversee multiple technical areas, manage the activities of several departments, and foster collaboration across various technical domains. Serve as the primary technology

Work experience: Ideal candidate will possess 1-4 years of work experience that is applicable to equity research including (1) healthcare investment banking or venture capital experience, (2) prior equity research experience with a broker dealer/investment bank, or (3) corporate role in a relevant l

Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Join MUFG, where being inspired is expected and making a meaningful impact is rewarded. The selected colleague will work at an MU

Senior Treasury Associate - Broker Dealer Liquidity. DriveWealth is seeking a proactive Senior Treasury Associate with 8+ years of experience to join a fast-paced, rapidly evolving broker-dealer environment. Treasury, liquidity management, or capital markets within a broker-dealer or financial insti

At least 1 - 3 years of experience in sanctions screening, PEP review, or financial crime compliance within a bank, broker-dealer, fintech, or crypto company Strong working knowledge of global sanctions regimes and PEP/RCA risk frameworks Demonstrated experience handling complex or escalated screeni

Reconcile bank accounts, clearing accounts, trading activity, and customer balances. This range is representative of the starting base salaries for this role at Clear Street. At Clear Street, we offer competitive compensation packages, company equity, 401k matching, gender neutral parental leave, an

Senior Treasury Associate - Broker Dealer Liquidity. DriveWealth is seeking a proactive Senior Treasury Associate with 8+ years of experience to join a fast-paced, rapidly evolving broker-dealer environment. Treasury, liquidity management, or capital markets within a broker-dealer or financial insti

We're looking for a hands-on Senior Accountant with broker-dealer experience to own complex areas of the monthly close and play a key role in audit readiness and execution. Broker-Dealer & Regulatory Accounting. Apply understanding of broker-dealer accounting.

Broker-Dealer regulatory bodies (e. Broker-Dealer Regulatory matters. Broker-Dealer Compliance Advisor (Focusing on Equity Options).

Our client is seeking a FINOP / Broker-Dealer Regulatory Reporting Consultant with strong experience supporting self-clearing broker-dealers, including ownership of FOCUS reporting, 15c3-3 regulatory requirements, and related broker-dealer financial/regulatory obligations. Support broker-dealer regu

VP Candidate For Broker-Dealer Regulatory Reporting Team.We are seeking a highly experienced and detail-oriented VP candidate to support our Broker-Dealer Regulatory Reporting team.This role is responsible for the preparation, review, and oversight of all SEC financial responsibility rule reporting,

Compliance Lead, Broker-Dealer & Investment Adviser. The Compliance Lead, Broker-Dealer & Investment Adviser is a senior member of the Gusto Retirement Compliance Team, reporting directly to the Head of Compliance. This role is the operational backbone of the compliance program, owning the complianc

Pzena Investment Management, LLC is a registered investment adviser and broker-dealer managing approximately $80 billion in global equity assets. We provide equity investment management services for institutional investors, leading corporate, public and individual clients on a world-wide basis by wa

Fixed Income Regulatory Operations Candidate. Broker dealer client is seeking a strong fixed income regulatory operations candidate to join its reporting team. Works closely with Trading, Operations, Compliance, and Technology to investigate breaks, support audits, and implement regulatory changes.

Broker dealer client is seeking a Regulatory Reporting professional to join its Finance & Accounting team in New York. This role is responsible for broker-dealer regulatory reporting compliance, with a focus on net capital, customer reserve, and FOCUS reporting.

Provide compliance oversight, support and guidance for Capital Markets, Commercial Banking, Institutional Broker-Dealer, Investment Banking, FOREX, and Derivatives products and personnel in accordance with fiduciary standards, applicable laws, rules, regulations, and regulatory expectations. Capital

We are seeking a knowledgeable Regulation W Compliance Officer to oversee affiliate-transaction compliance across the bank and its related entities, including our investment adviser, broker-dealer, trust company, and other affiliated businesses. Regulation W Compliance Officer. Perform and continuou

As a Private Client Advisor in Chase Wealth Management, you will offer comprehensive financial planning and advice to individuals and families. This will be done with a consistent focus on relationship management, not portfolio management. Morgan Securities LLC (JPMS), a registered broker-dealer and

As a Private Client Advisor in Chase Wealth Management, you will offer comprehensive financial planning and advice to individuals and families. This will be done with a consistent focus on relationship management, not portfolio management. Morgan Securities LLC (JPMS), a registered broker-dealer and

As an Internal Client Advisor within our financial advisory team, you will be instrumental in assisting financial advisors to navigate the complexities of the broader capital markets by providing timely solutions. In collaboration with a Client Advisor, you will work towards achieving the goals for

As a Private Client Advisor in Chase Wealth Management, you will offer comprehensive financial planning and advice to individuals and families. This will be done with a consistent focus on relationship management, not portfolio management. Morgan Securities LLC (JPMS), a registered broker-dealer and

Bank has an excellent career opportunity for an experienced Junior Repo Funding Trader to join our team. This position would be on a broker dealer funding desk dealing in repo and/or securities lending with preferable experiences in asset classes of US treasuries, corporate bonds, ABS, MBS, municipa

Our client is seeking a FINOP / Broker-Dealer Regulatory Reporting Consultant with strong experience supporting self-clearing broker-dealers, including ownership of FOCUS reporting, 15c3-3 regulatory requirements, and related broker-dealer financial/regulatory obligations. Support broker-dealer regu

Branch Examiner / Compliance Officer. The Branch Inspection Program is one pillar of the US Broker-Dealer Shared Services team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27, and various internal Firm policies and procedures. The Program reviews

Maintain regular interaction with Compliance and Supervision partners. Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams. Financial markets and products.

Branch Examiner / Compliance Officer. Experience in roles in any of the following areas: Compliance Testing, Monitoring, Quality Assurance, Branch Inspections, Surveillance, and/or Internal Audit. The Branch Inspection Program is one pillar of the US Broker-Dealer Shared Services team responsible fo

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 the Role We are looking for a motivated and detail-oriented Influencer Marketing & Partnerships Intern to support Moomoo US’s influencer business development initiatives. In this role, you will help identify, evaluate, and reach out to potential influencers across key social media platforms to support our paid and organic campaigns. You’ll gain hands-on experience in influencer sourcing, partnership management, and campaign execution in a fast-paced FinTech environment. What You’ll Do • Research and identify potential influencers across YouTube, TikTok, Instagram, X (Twitter), and other platforms who align with our brand and target audience., • Maintain and update influencer databases, tracking engagement metrics, categories, and performance data., • Support influencer outreach by preparing introductory messages, partnership proposals, and follow-ups., • Assist in evaluating influencer quality and fit through content reviews, follower analysis, and engagement metrics., • Coordinate with internal teams (marketing, creative, data) to support influencer campaign execution., • Monitor ongoing influencer partnerships and track campaign performance., • End-to-end influencer sourcing and campaign management processes., • How influencer partnerships contribute to marketing strategy and brand growth in the FinTech sector., • Hands-on experience with influencer marketing tools and CRM databases., • Current student or recent graduate in Marketing, Communications, Business, or related field., • Passion for social media, influencer culture, and financial education content., • Strong research and organizational skills; attention to detail., • Excellent written and verbal communication skills., • Familiarity with major social platforms (YouTube, TikTok, Instagram, X)., • Exposure to a leading global FinTech brand., • Mentorship from experienced marketing and partnership professionals., • A collaborative and international work environment., • Opportunity to contribute to real campaigns and impact brand growth.

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. About the Internship: We are seeking a motivated Brand Marketing Intern to join our team. This is an unpaid internship designed for students who are passionate about marketing and eager to gain real-world experience in the fintech industry. This internship will provide hands-on exposure to marketing campaigns, influencer collaboration, and data-driven decision-making. You’ll work closely with experienced professionals and learn how marketing strategies are executed in a dynamic financial services environment. This internship is based at our Jersey City office. Remote work is not available. Academic credit may be arranged in coordination with your institution if applicable. Requirements What You’ll Learn & Do: 1. Campaign & Creative Coordination • Supporting the development and execution of 360°ree; product campaigns across multiple channels, • Exposure to maintaining brand consistency, including voice, expression, and values throughout creative work, • Opportunities to collaborate with Product Development, Sales, Marketing, and Creative teams to understand how cross‑functional alignment drives campaign success, • Reviewing brand performance metrics and generating ideas to improve messaging and creative effectivenes. 2. Brand Stewardship • Understanding how to act as a brand steward by ensuring consistent brand representation across all marketing channels, • Ability to identify areas where brand language or positioning can be strengthened across owned platform 3. White Space Ideation • Contributing cultural, competitive, and audience insights to shape creative direction and new campaign ideas, • Skills in monitoring competitor activity and analyzing how brands communicate in the market, • Opportunities to brainstorm and help shape innovative marketing strategies that enhance brand awareness, engagement, and loyalty. What You Bring: • Current student in Marketing, Communications, Business, Finance, or related field., • 1+ years real world experience (Internships or personal pursuits) in the brand marketing or advertising., • Basic understanding of brand strategy, campaign/creative development, and the financial services landscape, • Passion for creating impactful brand work in a fast‑moving, competitive category, • Strong problem‑solving mindset with creativity and out‑of‑the‑box thinking, • Clear and confident written and verbal communication skills What You’ll Gain: • Exposure to fintech and financial services marketing practices., • Hands-on experience with brand campaign execution., • Professional development through mentorship and cross-team collaboration., • Opportunity to build practical skills that prepare you for future full-time roles in marketing or fintech.

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. About the Internship: We are seeking a motivated Public Relations & Communications Intern to join our team. This is an unpaid internship designed for students who are passionate about marketing and eager to gain real-world experience in the fintech industry. This internship will equip interns with foundational knowledge in Marketing and develop their professional, analytical, and collaborative capabilities in a real-world business environment. This internship is based at our Jersey City office. Remote work is not available. Academic credit may be arranged in coordination with your institution if applicable. Requirements What You’ll Learn & Do: • Drafting and editing communications materials such as press releases, media pitches, talking points, and briefing documents, • Conducting research on market trends, retail investing behavior, IPO activity, and fintech industry developments, • Monitoring and analyzing media coverage related to the company, competitors, and the broader trading landscape, • Preparing background research, Q&A materials, and key messaging for media interviews, • Contributing to thought leadership content and identifying timely media opportunities, • Understanding communications planning for product launches, partnerships, and IPO announcements, • Maintaining media lists, outreach trackers, and internal communications documents, • Assisting with the planning and coordination of media events, briefings, and livestream sessions, • Preparing internal summaries and performance updates on PR activities and campaigns, • Collaborating with marketing, partnerships, and product teams to gather insights for communications materials, • Ensuring communications materials align with regulatory and compliance guidelines What You Bring: • Current student in English, communications, business, finance or related field., • Interest in financial markets, fintech, media, or technology industries., • Ability to conduct research, summarize information clearly, and work collaboratively in a fast-paced environment., • Familiarity with media monitoring tools, press release drafting, and working with journalists. What You’ll Gain: • Exposure to fintech and financial services marketing practices., • Hands-on experience in drafting and editing press and communication materials., • Strong research skills on market trends and industry activity., • Professional development through mentorship and cross-team collaboration., • Opportunity to build practical skills that prepare you for future full-time roles in marketing or fintech.

Our client is in the process of getting registered as a broker-dealer and futures commission merchant and are looking for an experienced consultant to help establish and perform regulatory reporting duties.

The Broker Dealer Operations Specialist plays a central role in delivering world-class customer and transaction servicing for alternative investment products. Clear understanding of Alternative Investment products and process solutions in brokerage and advisory retail accounts.