Broker dealer jobs in New York, New YorkCreate job alerts

Title: Compliance Analyst / Compliance Associate Firm: Global Private Equity Firm ($75B+) Location: New York, NY or San Francisco, CA Compensation Range: $110,000 – $150,000 base salary (dependent on experience) plus generous year end bonus and 100% benefits Job Overview: A leading global private equity firm is seeking a Compliance Analyst or Associate to support its Private Equity Compliance program. This is a highly visible and impactful role focused on identifying, managing, and mitigating compliance risk while fostering a business-oriented compliance culture. The position offers meaningful exposure to regulatory matters, internal stakeholders, and senior compliance leadership in a fast-paced investment environment. Highlights: • High-impact role within a global private equity platform, • Exposure to SEC filings, examinations, and marketing rule compliance, • Collaborative, business-focused compliance environment, • Opportunity to work closely with investor relations and marketing teams, • Conduct internal compliance testing to assess policy effectiveness and regulatory adherence, • Coordinate with external compliance consultants on periodic reviews and examinations, • Support preparation and filing of regulatory filings (e.g., Form ADV, 13F, PF, CFTC filings), • Assist with proxy voting oversight, • Review marketing materials and social media content for compliance with SEC Marketing Rule, • Support SEC examinations and regulatory inquiries, including document collection and response drafting, • Research regulatory developments impacting private fund advisers, • Bachelor’s degree required, • 3–5 years of compliance or related experience at an RIA or broker-dealer preferred, • Working knowledge of compliance testing and SEC regulatory requirements, • Familiarity with SEC Rule 206(4)-7 and SEC/FINRA marketing rules strongly preferred, • Strong organizational, analytical, and communication skills, • Ability to manage priorities in a fast-paced, dynamic environment, • Strong interpersonal skills and ability to work independently or as part of a team

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Job Description The firm is seeking a Client Service Associate to join our Private Client Division in our Midtown East, NY branch office. The primary responsibilities include servicing clients, marketing, scheduling, prioritizing meetings, managing database, general organizational support, as well as client interaction. The ideal candidate will have a proactive mindset in order to anticipate business needs and will assume ad hoc responsibility for project-oriented tasks. This role will handle details of a highly confidential and critical nature and collect and prepare information for use in discussions/meetings of executive staff. Responsibilities • Provide administrative support, which includes but not limited to the creation, maintenance and editing of documents, spreadsheets, files, and presentations, • Calendar management and coordination of meetings, including all logistics, • Database management, • Client interaction and service, • Bachelor’s degree required, • 1-2 years financial services/fixed Income experience required, • Possess a high degree of proficiency with MS Office products including Word, Excel, Outlook and PowerPoint, • Able to interface and articulate well with all levels of employees and clients in a highly professional and friendly manner, • FINRA Registrations: SIE, Series 7/63 or 66 preferred or willing to obtain (Will be sponsored) For job postings in New York State, Oppenheimer is required by law to include a reasonable estimate of the salary for this role. This salary is specific to the State of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary is $55,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Location: Roseland, NJ (On-Site) The Company: Alternative Regulatory Solutions is a national financial services advisory firm serving Municipal Advisors, Bank Dealers, Broker-Dealers, and Investment Advisors. We deliver outsourced regulatory support, ongoing surveillance, and hands-on compliance services to help firms navigate FINRA, SEC and MSRB requirements with clarity and efficiency. We are growing and seeking a Managing Director level candidate with extensive experience with Municipal and other Fixed Income Products (BD) and the Registered Investment Advisor (RIA) regulatory frameworks. Familiarity with Municipal Advisors (MA) is a plus. This position will play a central role in shaping, enhancing, and scaling compliance and supervisory infrastructure across advisory activities, with meaningful responsibility for program design, regulatory interpretation, and execution. The Opportunity: The Managing Director (CCO) Role will be responsible for leading the Municipal Advisor, RIA and Broker Dealer focused compliance program at Alternative Regulatory Solutions. The position requires a professional who is comfortable operating with autonomy, managing multiple client relationships, and contributing to the continued development of the firm’s compliance platform. The ideal candidate brings strong technical judgment, practical advisory experience, and the ability to work closely with firm leadership to expand services in response to client needs and regulatory developments. Specific responsibilities include: • Serve as the primary compliance advisor for a portfolio of MA, BD, and RIA Clients., • Be available to assist staff with regards to complex questions and interpretations of MSRB, SEC, and FINRA Rules., • Partner with firm leadership to help shape and refine the firm’s MA, BD, and RIA compliance service offerings., • Support business development through subject-matter expertise, including participation in prospect discussions, client meetings, and proposal development., • Design, implement, and maintain RIA compliance programs in accordance with the Investment Advisors Act of 1940, • Draft and update written supervisory procedures, surveillance programs, compliance manuals, policies, procedures, and codes of ethics tailored to client business models., • Support clients through all phases of a FINRA or SEC examination., • Build and maintain advanced knowledge of appropriate regulatory agency policies and procedures. Key Qualifications: • Bachelor’s Degree, • 10+ years of prior financial services (MA, BD, RIA or RIC) compliance or audit experience, • Demonstrated ability to design, implement, and manage written supervisory procedures, surveillance programs, compliance manuals, policies, procedures, and codes of ethics, • Strong knowledge and understanding of MSRB, FINRA, and SEC regulations as they pertain to Municipal Securities and other Fixed Income products, • Experience serving as a primary point of contact for regulatory examinations, • Experience in dealing with cybersecurity programs and vendor management a plus, • Experience leading a team, • Proficiency in the Microsoft Office Suite including Excel, Word, PowerPoint, and Outlook, • Highly organized, adaptable, and motivated while bringing a positive attitude to solve difficult problems, • Comfortable working in a small, entrepreneurial firm setting Estimated Compensation Range: $150,000- $225,000

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 licensed Financial Customer Experience Associate to lead 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 oversee store operations, drive client acquisition, provide licensed investment guidance, 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, • Client Onboarding -Assist customers with account openings, deposits, and account modifications on-site, • Sales & Promotions Management -Manage and plan sales promotions and marketing campaigns for the Brand Store, • 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 at each event, • Cross-Functional Collaboration - Collaborate with cross-functional teams to support/create promotional campaigns, marketing initiatives, and sales efforts, • Financial Market Awareness - Stay current on market news, trends, and economic events, and effectively communicate relevant insights to customers, • Store Operations Management - Oversee day-to-day Brand Store sales and operational workflows, • Compliance - Ensure all marketing and sales activities comply with FINRA and SEC guidelines Qualifications: • Must currently have Series 7, and ability to obtain Series 63 license within the first 90 days of employment., • 3+ 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 $55,000-$100,000. 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.

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. Premier Client Service Specialist Office Location: Jersey City, NJ & Dallas, TX About the Team & Role: Moomoo Financial seeks a polished Premier Client Service Specialist to deliver exceptional, dedicated support to our high-net-worth (HNW) and premier clients. This role is central to providing white-glove service for account onboarding, asset transfers, and ongoing relationship management, with a focus on understanding client needs, addressing concerns, and executing retention strategies for at-risk clients. The ideal candidate is a proactive and consultative professional with deep platform expertise, dedicated to building long-term trust with our most valuable clients and ensuring a superior service experience at every touchpoint. What You'll Do: 1. Premier Client Service & Relationship Management (Primary Focus) • Act as the primary dedicated liaison for VIP clients, managing complex inquiries related to equities, options, margin, and account management., • Lead and oversee the seamless end-to-end process for premier client onboarding, account funding, and stock transfers, including handling corporate accounts., • Proactively monitor client relationships, identify potential needs, and provide dedicated support to enhance client satisfaction and loyalty., • Serve as the key point of contact for premier clients, providing timely and accurate responses via email, phone, and other channels. 2. Client Retention & Strategic Support • Proactively identify at-risk clients expressing dissatisfaction or intending to withdraw significant assets., • Lead retention efforts by initiating direct contact, understanding the root cause of issues, and presenting tailored solutions to preserve the relationship., • Develop and implement strategies to enhance client satisfaction and improve overall service delivery for the premier segment., • Analyze client feedback and pain points to advocate for platform or service improvements that benefit the HNW client experience. What You Bring: • FINRA Series 7 & 63 licensed., • Bilingual (Chinese & English), • 3+ years in financial services with demonstrated success in premium client support (e.g., wealth management, private client services, or similar)., • Exceptional communication and relationship-building skills, with a proven ability to manage high-touch client relationships. Act as the key relationship associate for MFI premier clients by providing timely and accurate responses to inquiries via email, phone, and other communication channels., • Strong platform expertise and working knowledge of brokerage operations, trading products, and complex account procedures., • Proven experience in handling and serving corporate accounts., • Proactive problem-solver with a demonstrated ability to identify client needs, de-escalate concerns, and present effective solutions., • Collaborative mindset with the ability to work effectively across Service, Marketing, and Compliance teams. Preferred Qualifications: • Experience in developing and implementing client retention strategies., • Background in compliance or a strong understanding of regulatory frameworks governing client communications., • Demonstrated ability to build deep client relationships, identify growth opportunities, and drive long-term loyalty., • Skilled in trading products and delivering platform demonstrations. What We Offer: • Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents, • 401k Employer Contribution: We match your contributions to help you grow your retirement savings, • Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy, • Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work, • Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success 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 $70,000 - $110,000. 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.

Job DescriptionDescription: About Us: Bleakley is a leading independent Registered Investment Advisor firm dedicated to providing top-tier financial advice and investment strategies. Our commitment to our clients is matched only by our dedication to our team members. We are seeking a dynamic Client Service Associate to join Advisors, Mark Feldman and Michael Klein’s team and support our growing initiatives. Job Brief: We are looking for an ambitious and adept candidate who is passionate about providing exceptional client service and thrives in a fast-paced environment. This role includes a mix of client-facing activities and administrative tasks that will expand your skill set and make a meaningful impact on our business. High-level responsibilities include preparing pre- and post- meeting client materials, onboarding prospective clients and any other administrative tasks to support the needs of the team. To succeed in this role, you will need to be detail-oriented, along with having excellent communication skills, empathy and a collaborative spirit. This position reports directly to the Director of Operations. We look forward to adding another high achiever to our close-knit team. Responsibilities: • Assist Operations Team with day-to-day client needs (sending statements, tax documents, reports, beneficiary updates, opening new accounts, bank links, etc.), • Document tasks and update KYC information in CRM and other platforms., • Assist with money movement requests., • Track and deposit checks received and process in compliance with the company and broker-dealer standards., • Perform office and administrative tasks., • Assist with pre-meeting preparation materials., • Run Insurance Quotes and assist with insurance processes., • Run client reporting data, as directed., • Update and maintain client accounts and profiles., • Assist and support team members, where needed., • Monitor and maintain team calendar, phones and compliance emails., • Manage and maintain Constant Contact correspondence and any other digital platforms., • Assist with maintaining compliance records and reports., • Reconcile and troubleshoot daily custodial alerts., • Assist with maintaining Social Media platforms. Requirements: Knowledge and Skills • Enthusiasm for helping clients and other team members, • Excellent communication and interpersonal skills, • Must possess high standards of professional ethics, • Extremely proactive, reliable and success-driven, • Must be detail-oriented, organized and resourceful, • Able to multi-task in a fast-paced environment, • Knowledge of Microsoft Office and Salesforce preferred, • Bachelor’s degree from a four-year college or university, • 2+ years of experience in the financial services industry or related experience, • Conduct with the highest level of integrity and confidentiality, • Knowledge of Microsoft Office and Salesforce preferred, • Knowledge of Sales Navigator and social media Right to Revise: This job description is not meant to be all-inclusive, and the Company reserves the right to revise this job description as necessary without advance notice. The statements herein are intended to describe the general nature and level of work being performed by the employee. They are not to be construed as an exhaustive list of responsibilities, duties, and skills required of personnel so classified. Furthermore, they do not establish a contract for employment and are subject to change at the discretion of the employer without notice. Why Join Us: · Opportunity to play a key role in the growth and success of a leading RIA firm. · Collaborative and supportive team environment. · Competitive salary and benefits package. · Continuous professional development opportunities. · High end office located in Parsippany NJ with gym on-site. · Culture activities focused on health & wellness, team collaboration, and employee engagement.

Additional Job Description Job Title Senior Legal Counsel, US Lending and Finance Corporate Title Director Location New York Overview This position will require a skilled lawyer to provide legal advice to various investment banking trading and lending desks, including the supervising of outside counsel. You will be an integral part of the Bank’s lending, finance and securities coverage team within the investment bank, negotiating transaction documents and providing legal advice and legal and risk assessments for complex transactions, including cross-border transactions. Deutsche Bank is investing heavily in the success of the investment bank, which means we are investing in you. What We Offer You • A diverse and inclusive environment that embraces change, innovation, and collaboration, • A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days, • Employee Resource Groups support an inclusive workplace for everyone and promote community engagement, • Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits, • Educational resources, matching gift and volunteer programs What You’ll Do • Broad transactional coverage of the Firm’s fixed income asset backed lending, securitization, and structured finance businesses within the Deutsche Bank Investment Bank, • Support multi-strategy businesses that originate, purchase, trade in, make markets and advise on and/or securitize large positions in commercial and residential mortgages, mortgage related securities, aircraft, consumer and auto loans, collateralized loan obligations (CLO), Asset Backed Securities (ABS), and other loan products, • Solid experience in warehouse lending transactions, capital markets, asset acquisition, ABS, CMBS, Residential Mortgage-Backed Securities (RMBS), CLO, aircraft, consumer, auto and other asset backed transactions, • Experience representing underwriters, issuers, and managers in a wide range of ABS, CMBS, Residential Mortgage-Backed Security (RMBS), CLO, aircraft, consumer, auto and other asset backed financings including registered public offerings, exempt transactions, and international and domestic offerings, • Draft, review, and advise on a wide variety of lending documents, structured finance, warehouse lending transactions and other related loan products. Experience with certain derivatives transactions and swaps coverage is also a plus, • Advise the trading and structuring groups in relation to the legal and regulatory framework governing the securities and structured finance markets, including without limitation the Securities Act of 1933, the Securities Exchange Act of 1934 and Dodd-Frank How You’ll Lead • Provide advice to senior Legal Department management on transactional legal requirements, best practices and technology tools and solutions, • Collaborate with colleagues globally in the Bank’s Legal Department, Technology Data & Innovation (TDI) function and other infrastructure functions Skills You’ll Need • Familiarity with Dodd Frank and other securities laws and regulations governing the structured finance market including broker-dealer regulations and the Volcker Rule (a plus but not required), • The candidate should have Moderate experience and if possible, in-house counsel experience, New York qualified and a proven ability to work independently, • Admission to the New York State Bar or otherwise qualified to practice law in New York as registered in-house counsel, • Excellent judgment and ability to advise on legal risks and requirements within a business context, • Excellent interpersonal, written and oral communications skills Skills That Will Help You Excel • Work autonomously with various structuring groups to structure transactions that achieve internal and/or client objectives and manage multiple transactions on accelerated schedules, • Prior in-house in or law firm experience with financial services is a plus, • Ability to collaborate, cooperate and work well with others in a supportive and respectful manner, • Ability to handle and strategically prioritize numerous projects and tasks, • Experience operating in a fast-paced business environment Expectations It is the Bank’s expectation that employees hired into this role will work in the New York office in accordance with the Bank’s hybrid working model. Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion. The salary range for this position in New York City is $170,000 to $308,000. Actual salaries may be based on a number of factors including, but not limited to, a candidate’s skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of remuneration. Deutsche Bank Benefits At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That’s why we are focused on providing benefits and perks that enable our colleagues to live authentically and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Click ___ to learn more! Learn more about your life at Deutsche Bank through the eyes of our current employees ___ The California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of Deutsche Bank’s California Privacy Notice please email . #LI-HYBRID

Job Title: Operations Specialist (Career Growth Path) Location: New York, NY (In-Office) Compensation: $85,000 – $110,000 Base Salary + Performance Bonus The Opportunity Join a premier, high-growth wealth management firm managing over $1.2 Billion in AUM. We specialize in comprehensive financial planning for physicians and are one of the fastest-growing branches within the Osaic network. As we scale at over 30% per year, we are looking for a foundational operations professional who wants to build a long-term career with us. Long-Term Career Path We are seeking a candidate who truly enjoys the operations side of wealth management and intends to stay and grow in this field for several years. This is not a "stepping stone" to becoming an advisor; it is a path to operational leadership (Operations Manager, Lead Operations or Chief Compliance Officer). Core Responsibilities • Independent Execution: You are a self-starter who does not need to be micromanaged. You own your desk, manage your own schedule, and ensure nothing falls through the cracks., • Account Setup Excellence: Take full ownership of the end-to-end opening process for Individual, Joint, 529, and Entity accounts. You ensure every document is submitted correctly the first time, proactively catching errors to guarantee a smooth experience., • FA Partnership & Feedback: Act as a true partner to our Financial Advisors. This includes understanding their priorities, managing expectations, and providing regular feedback on task status., • Critical Deadline Support: Lead the charge during peak periods (Tax Season and Year-End) on last-minute account openings, funding, and contribution/distribution requests., • Money Movement & Funding: Execute ACAT/non-ACAT transfers, wires, and check distributions. Proactively assist advisors with the formal funding of Revocable Trusts., • Retirement & Tax Support: Oversee RMDs, QCDs, Rollovers, and DAFs. You must be able to spot and fix errors—such as IRA over-contributions—before they cause tax issues. Technical Requirements • Experience: Minimum 2-3 years specifically supporting Financial Advisors in an operations role., • Mandatory Skills: You must have extensive, hands-on experience opening new accounts and managing the full Rollover processing lifecycle., • Platform Mastery: Understanding of the broader Broker-Dealer/RIA landscape (e.g., Schwab, NFS) and how to resolve NIGO issues independently is a major plus., • The "Error Anticipator": You look three steps ahead to prevent mistakes before they happen. Benefits & Perks • Retirement: 401(k) plan with firm contribution/match., • Health: Comprehensive Health, Dental and Vision insurance., • Time Off: Paid Time Off (PTO) package., • Bonus: Annual performance-based incentives tied to accuracy and firm growth.

Insurance Manager – Life Insurance, Disability Insurance, Long-Term Care & Annuities OnePoint BFG Job Summary The Insurance Manager will lead the life insurance, long-term care, disability insurance and annuities division within OnePoint BFG, reporting directly to the Head of Financial Planning. This role is responsible for developing and overseeing underwriting, placement, and illustration production functions for life insurance, disability insurance, long-term care, and annuity products, building and managing a high-performing team, and providing ongoing training. The Manager will drive new business initiatives and support financial advisors in selecting appropriate solutions for their clients. Key Responsibilities • Underwriting & Placement:, • Design, implement, and optimize underwriting and placement processes to ensure efficient and compliant insurance and annuity solutions. Collaborate with carriers to secure competitive rates and favorable terms for clients., • Illustration Production:, • Oversee the development of accurate and compelling insurance and annuity illustrations that support advisor recommendations and client presentations., • Team Building & Management:, • Recruit, train, and supervise a team of insurance professionals. Foster a collaborative environment focused on professional development and service excellence., • Training & Development:, • Develop and deliver training programs for staff and financial advisors to enhance knowledge of life insurance, disability insurance, long-term care, and annuity products., • Business Development:, • Identify and pursue opportunities to expand OnePoint BFG’s insurance and annuity business. Build relationships with external partners and industry contacts to support growth objectives., • Advisor Support:, • Minimum 8 years of experience in life insurance, long-term care insurance, disability insurance and annuities, preferably within a registered advisory or broker-dealer environment., • Bachelor’s degree in business, finance, or a related field; advanced credentials (CLU®, ChFC®, CFP®) are highly valued., • Demonstrated expertise in underwriting, placement, and illustration production for life insurance, disability insurance and annuity products., • Strong understanding of regulatory requirements and compliance standards., • Exceptional leadership and team management abilities., • Outstanding communication and interpersonal skills., • Strategic thinking and business development acumen., • Comprehensive industry knowledge and technical proficiency in insurance and annuities., • Ability to build effective relationships with advisors, carriers, and partners. OnePoint BFG offers a competitive compensation package commensurate with experience, including base salary, performance incentives, and a comprehensive benefits program. Details will be discussed during the interview process. Application Process Qualified candidates are invited to submit a resume and cover letter outlining relevant experience and qualifications. Please send application materials to . Only candidates selected for interviews will be contacted.

The BBVA US Legal Department provides legal support to the Corporate & Investment Banking Group (“CIB”), which includes the New York branch and Houston representative office of BBVA (a Spanish bank), and its SEC-registered broker dealer. The successful candidate will provide counsel on legal and regulatory issues, perform legal research, review documentation for financial transactions, present updates to senior management and manage corporate governance, primarily in support of CIB under the supervision of the General Counsel for CIB in the US. Primary Duties • Support real estate finance transactions, including the review and analysis of financing documentation for project-based and asset-based loans made to REITS, data center companies and financial sponsors and asset managers (e.g., credit agreements, guarantees, mortgages/deeds of trust, leases, SNDAs, insurance documents and security documents) and related regulatory compliance advice., • Support non-real-estate finance transactions, including the review and analysis of legal documentation for secured and unsecured lending transactions., • Answer legal and regulatory questions and provide day-to-day support to the BBVA Group, whether with respect to its US operations or globally, engaging colleagues in Europe, Asia and Latin America., • Represent the Legal Department in meetings across various bank functions with senior management and external stakeholders. Advise on all legal matters relevant to US CIB operations. Required Qualifications • At least 3 years of experience at a top law firm., • Prior experience negotiating real estate finance documentation., • Self-motivated with the ability to work independently, exercise good judgment with respect to escalation, and collaborate effectively in a team-oriented environment., • Excellent written and verbal communication and analytical skills., • High degree of integrity and strong work ethic. Timely follow-through on commitments., • A Juris Doctor from a top law school., • An active license to practice law in the State of New York. Desired Skills • Great sense of humor and positive perspective., • Interest in improving Legal Department operational efficiency., • General commitment to training and improving upon policies and procedures., • General knowledge of laws and regulations applicable to banks., • Legal flexibility: a willingness to jump into unfamiliar legal terrain, including derivatives and securities trading, trade finance, litigation, vendor contracting, sustainability, cybersecurity, data protection, corporate reporting, securities offerings, and AML/BSA., • Experience negotiating corporate finance documentation outside of real estate finance., • Spanish language skills are a plus. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. With respect to this position in our New York Office, the expected base salary ranges from $160,000 to $190,000. It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus. *Employment eligibility to work with BBVA in the U.S. is required as the company will not pursue visa sponsorship for these positions

About Jiko In an era of financial uncertainty, safeguarding corporate cash is more critical than ever. Jiko is designed for unmatched safety, liquidity, and simplicity — combining the innovation of a technology platform with the security of a regulated bank. By reinventing the traditional deposit model, Jiko offers Jiko Pockets—a seamless solution that combines the transactional ease of a bank account with fully automated investments in U.S. Treasury bills. Now, with JikoNet, institutions can securely move funds 24/7 across industries while keeping assets continuously invested and protected. Finance leaders can access Jiko Pockets and JikoNet through Jiko’s online dashboard, secure APIs, and integrations with leading Treasury Management partners. Position Overview Joining Jiko as a Customer Support Associate, you’ll contribute to the growth of a world-class organization that delivers an exceptional customer experience. This team is critical, serving as the first point of contact for clients. This role reports to the Director of Customer Success. We’re looking for a passionate individual who wants to grow with the company. The ideal candidates thrive on working in a fast-paced environment, look for efficiency in everything they do, always set high standards for themselves as well as their teammates, and like to have fun at work! What you will be doing • Deliver an exceptional client and partner experience as the primary day to day point of contact for Jiko clients and partners., • Provide timely, high-quality service and guide clients by evaluating, resolving, or escalating issues, and collaborating on and improving support and operational processes., • Support critical account operations (onboarding, account opening, wire transfers, reporting) by working seamlessly with operations, compliance, success and sales teams., • Ensure customer satisfaction by owning issues through resolution and acting as the consistent voice of the customer within Jiko., • Capture and relay client feedback and feature requests to Product and Engineering to drive customer-centric enhancements., • Maximize client understanding and platform adoption through education, enablement, feature workflow guidance, and by contributing to help content development., • Help the team build and scale by analyzing trends, assisting with reporting, and optimizing our systems and workflows. What experience you should have • 2-3+ years of professional experience, including 2+ years in customer support or similar roles at a financial institution or fintech firm., • Direct experience in support and account operations for institutional/business clients., • Exceptional communication skills and experience engaging sophisticated customers., • Highly diligent, detail-oriented, and process-driven., • Experience with U.S. financial institutions and regulatory environments (FINRA broker-dealer, KYB/KYC, BSA, Reg E, fraud mitigation)., • Located in EST, with flexibility to be part of a 24/7 coverage team. Additional Information Jiko is working to build a more inclusive economy where our customers have equal access to opportunity, and we strive to live by these same values in building our workplace. Jiko is a proud equal-opportunity employer. We work hard to evaluate all employees and job applicants consistently and fairly. We provide an environment of mutual respect where equal employment opportunities are available to all applicants and teammates without regard to race, color, religion, sex, pregnancy (including childbirth, lactation, and related medical conditions), national origin, age, physical and mental disability, marital status, sexual orientation, gender identity, gender expression, genetic information (including characteristics and testing), military and veteran status, and any other characteristic protected by applicable law.

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role We are seeking a Director to serve as a key operational leader within our Brokerage Operations organization. This role is designed for a highly strategic operator who can function as a critical strategic partner to senior operations leadership — owning complex operational domains, driving cross-functional initiatives, scaling brokerage infrastructure, and helping shape Alpaca's expansion into Futures and Prediction Markets. The ideal candidate brings deep brokerage and clearing operations expertise alongside strong knowledge of Futures and/or Prediction Markets. They are proactive, systems-oriented, operationally rigorous, and comfortable leading across Operations, Engineering, Product, Compliance, Treasury, and Risk in a fast-moving environment. Things You Get To Do Lead Brokerage & Market Infrastructure Operations • Serve as a senior operational leader across Alpaca's brokerage and clearing ecosystem, • Help oversee and scale operational workflows across equities, options, cash management, transfers, reconciliations, settlements, and operational risk domains, • Build and scale operational workflows supporting Futures and Prediction Markets products, • Design scalable clearing, settlement, reconciliation, collateral, fraud prevention, and lifecycle management processes, • Partner closely with Product and Engineering teams to operationalize new products and trading capabilities, • Evaluate operational risk across new market structures and proactively implement controls and monitoring, • Identify high-impact automation opportunities across reconciliation, exception management, settlement, margin, and reporting workflows, • Lead initiatives that materially improve operational efficiency, scalability, resiliency, and accuracy, • Reduce manual touchpoints through systems thinking and process engineering, • Establish measurable KPIs and operational performance metrics, • Act as a strategic bridge across Operations, Engineering, Product, Compliance, Finance, Treasury, and Risk, • Influence roadmap prioritization for operational tooling and platform improvements, • Lead complex cross-functional initiatives involving multiple stakeholders and external vendors, • Operate as a trusted thought partner and escalation point for operational leadership, • Mentor and develop operational leaders and subject matter experts, • Partner with Compliance and Legal teams to ensure operational adherence to applicable regulatory obligations, • Interface with clearing firms, exchanges, FCMs, market utilities, and industry working groups, • Support operational readiness for audits, examinations, certifications, and regulatory reviews, • Contribute to operational frameworks supporting new market and product launches, • Lead high-severity operational issue management and root cause analysis, • Develop preventative controls and resiliency frameworks, • Improve operational transparency, escalation protocols, and incident response procedures, • Establish scalable operational governance and documentation standards Who You Are You are the type of operator who can simultaneously lead strategic operational initiatives, dive into the details during critical incidents, improve systems proactively, and influence teams across the organization without relying on hierarchy alone. You likely come from a brokerage, clearing firm, FCM, exchange, fintech infrastructure company, or institutional trading environment where operational precision, scale, urgency, and risk management matter deeply. • 8+ years of experience in brokerage operations, clearing operations, futures operations, exchange operations, market infrastructure, or capital markets operations, • Deep expertise in brokerage and clearing operations, • Strong operational knowledge across equities, options, settlements, reconciliations, transfers, margin, operational controls, and customer-impacting workflows, • Deep expertise in Futures and/or Prediction Markets operational workflows, • Strong understanding of trade lifecycle management, clearing, settlement, reconciliation, collateral, margin, and operational controls, • Experience working with clearing firms, FCMs, exchanges, OCC, CME, DTCC, or other financial market infrastructure providers, • Proven ability to independently lead highly cross-functional initiatives in fast-paced environments, • Strong systems thinking and process optimization mindset, • Experience driving operational automation and scalable infrastructure improvements, • Comfortable operating both strategically and tactically depending on business needs, • Exceptional communication and stakeholder management skills, • Strong analytical and problem-solving abilities, • Demonstrated leadership through influence, ownership, and execution, • Core Competencies - Alignment with Alpaca's company tenets:, • Stay Curious, • Have Empathy, • SQL, Python, or data analysis experience, • Power user of AI tools like Cursor, NotebookLM, Chatgpt, Onyx, • Experience supporting Prediction Markets products or event-based trading products, • Experience with self-clearing brokerage infrastructure, • Familiarity with exchange connectivity and post-trade systems, • Experience leading operational modernization initiatives, • Exposure to operational risk management frameworks, • Experience working closely with engineering teams on workflow automation and platform tooling, • FINRA licenses or NFA-related exposure, • Familiarity with API-first brokerage platforms and fintech infrastructure What Success Looks Like This role is expected to operate as a force multiplier for Brokerage Operations leadership. The right candidate will help increase organizational scale, operational maturity, proactive execution, and cross-functional effectiveness across the company. In your first 6-12 months, you will: • Establish scalable operational frameworks for Futures and Prediction Markets products, • Identify and deliver meaningful operational efficiency improvements, • Strengthen operational controls, resiliency, and monitoring, • Become a trusted strategic partner across Operations, Engineering, Product, Compliance, and Risk, • Improve operational readiness and reduce reactive issue management, • Help build the foundation for Alpaca's next generation of clearing infrastructure Who You'll Work With You will work directly alongside senior leadership across Brokerage Operations, Product, Engineering, Treasury, Compliance, and Risk while partnering closely with external clearing firms, exchanges, and market infrastructure providers. How We Take Care of You: • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

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 seeking an experienced Operations Director to join our dynamic team within our Broker-Dealer operations. The ideal candidate will play a pivotal role in ensuring seamless operational processes, mitigating risk, and maintaining compliance with regulatory standards. This position requires a proactive approach to identifying inefficiencies, implementing controls, and optimizing procedures to enhance operational effectiveness. Key Responsibilities: • Operational Oversight: Monitor daily operations, trade settlements, reconciliations, and financial transactions to ensure accuracy and compliance., • Risk Management: Identify, assess, and mitigate operational risks, developing strategies to enhance controls and minimize errors., • Regulatory Compliance: Ensure adherence to SEC, FINRA, and other regulatory requirements while maintaining proper documentation and reporting., • Process Improvement: Analyze existing workflows, recommend enhancements, and implement automation initiatives to boost efficiency., • Audit & Internal Controls: Collaborate with internal audit teams to ensure all processes align with industry best practices and regulatory standards., • Cross-functional Coordination: Work closely with Clearing, Finance, AML, Compliance, Cash Management and Stock Transfer teams to streamline operations., • 10+ years of experience in Operations Control within a Broker-Dealer environment., • Strong understanding of SEC, FINRA, and regulatory frameworks governing Broker-Dealer operations., • Expertise in trade reconciliations, risk management, and compliance monitoring., • Proficiency in industry systems (e.g., DTCC, OCC, Bloomberg, or similar platforms)., • Exceptional analytical and problem-solving skills with attention to detail. Effective communication and collaboration abilities in a fast-paced environment. What We Offer: • Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents, • 401k Employer Contribution: We match your contributions to help you grow your retirement savings, • Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy, • Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work, • Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success 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 $100,000 - $145,000. 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. Apply for this job

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role: We are looking for a Head of Data to lead Alpaca's ~15-person data department across Platform Engineering, Analytics Engineering, and Data Science. You will own the data strategy, the team's execution, and the department's roadmap. The Data department serves every function at Alpaca: it powers partner invoicing and revenue attribution, provides the analytical foundation for sales, product, and compliance, and operates the data platform that processes hundreds of millions of events daily. You will manage three team leads, balancing operational delivery (invoicing, embedded analytics, regulatory reporting) with strategic bets (self-service warehouse, AI-powered analytics, enterprise search). This is a player-coach role. You will set direction for the team while staying close enough to the technical details to make architecture decisions, unblock your leads, and represent data's capabilities to the executive team. Things You Get To Do: • Lead and develop three sub-teams: Platform Engineering & ETL, Analytics Engineering, and Data Science & Analytics. Manage leads, set priorities, and ensure delivery., • Own the Data Lakehouse architecture: Trino, Iceberg/GCS, Airflow, Airbyte, Redpanda CDC, dbt. Make build-vs-buy decisions on tooling., • Drive partner invoicing accuracy and evolution: ensure invoicing logic is versioned, reproducible, and scales with new pricing mechanisms and product launches., • Deliver embedded analytics: expose warehouse data to partners via BrokerDash, SSR pipelines, and API-based reporting. Own row-level security and entitlements., • Support product launches with data change management: coordinate data impact analysis for new products (fixed income, global stocks, perps, 24/5 trading) across downstream datasets, dashboards, and reverse ETL., • Accelerate self-service: move the organization toward self-serve analytics via semantic layers, data catalogues, and conversational BI so the data team can shift from ad-hoc queries to strategic projects., • Guide AI/ML enablement: oversee enterprise AI search, agent-based workflow automation, and LLM-powered analytics. Help balance vendor solutions with in-house development., • Collaborate with Finance, Sales, Product, Compliance, and Customer Success to translate business needs into data products., • Manage infrastructure costs: keep data + cloud cost ratio under target as AUC grows., • 8+ years in data engineering or analytics, including 3+ years managing data teams (leads + ICs)., • Deep experience with modern data stack: dbt, Trino/Presto or equivalent query engines, Apache Iceberg or similar table formats, cloud object storage., • Hands-on experience with ETL/ELT patterns at scale: CDC (Debezium/Kafka), batch (Airflow/dbt), streaming, and reverse ETL., • Track record of building self-service analytics capabilities for non-technical stakeholders., • Experience with financial data: trading, invoicing, revenue attribution, or regulatory reporting in fintech or financial services., • Proficiency in Python and SQL. Comfortable reading code, reviewing PRs, and making architecture decisions., • Experience managing distributed/remote teams across multiple time zones., • Strong stakeholder management: you can translate between executive priorities and engineering execution., • Experience with brokerage or broker-dealer operations (clearing, settlement, market making, reconciliation)., • Familiarity with LLM/AI tooling: MCP, vector databases, enterprise search, conversational BI (WrenAI, Cube)., • Background in compliance analytics (AML/Actimize, KYC, margin calls)., • Exposure to open-source data catalogues (OpenMetadata, Collate) and data quality frameworks.How We Take Care of You:, • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job Description 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. Job Summary: Join us in building the future of finance Moomoo’s mission is to democratize finance for all. As the Store Manager of our NYC Brand Store, you will lead the most visible in-person experience for our brand—connecting investors with powerful trading tools, market insights, and financial education. This role combines store leadership, financial expertise, sales strategy, and client relationship management. You will manage a team responsible for delivering exceptional client experiences, driving client acquisition, supporting store activations and events, and ensuring all activities comply with FINRA and SEC regulatory standards. This is a hands-on leadership role ideal for someone who thrives in fast-paced environments, enjoys coaching teams, and is passionate about financial markets and investor education. Office Location: NYC This role must be based on the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter. Requirements What You’ll DoLead Store Operations & Team Performance • Oversee the daily operations of the NYC Brand Store and ensure an outstanding in-person client experience., • Lead, coach, and develop a team of financial customer experience associates to achieve sales and service targets., • Provide ongoing training, mentorship, and performance feedback to drive team development and operational excellence., • Build a collaborative and inclusive team culture that reflects moomoo’s values.Drive Client Acquisition & Business Growth, • Develop and execute sales and engagement strategies to increase store traffic, customer acquisition, and account openings., • Build long-term client relationships through personalized engagement and financial education., • Host or participate in in-store events, product demonstrations, and investor education sessions., • Partner with marketing and partnership teams to support brand activations and promotional campaigns.Deliver Exceptional Client Experience, • Serve as the escalation point for complex customer inquiries related to equities trading, options, and brokerage services., • Ensure customers receive accurate, timely support while maintaining a high standard of professionalism and service., • Maintain structured client engagement strategies to deepen relationships and drive retention.Financial Expertise & Market Education, • Maintain deep knowledge of moomoo’s products, trading tools, and investment platform., • Stay current on market trends, economic developments, and trading strategies., • Educate customers on investment concepts, platform functionality, and trading opportunities.Compliance & Operational Excellence, • Ensure all marketing, sales, and customer interactions comply with FINRA, SEC, and internal regulatory policies., • Supervise licensed activities in the store in accordance with supervisory responsibilities under FINRA regulations., • Monitor store reporting including sales performance, client conversion metrics, and operational processes. What You BringRequired Qualifications • Active FINRA Series 7 license and 24 license, • 3+ years of leadership experience in financial services, brokerage, fintech, or wealth management, • Strong understanding of equities markets, options trading, and brokerage operations, • Demonstrated experience managing teams and delivering strong sales or service resultsPreferred Qualifications, • Experience in brokerage branch leadership or client-facing financial advisory roles, • Personal trading experience and deep passion for the U.S. stock market, • Strong presentation, communication, and client relationship management skills, • Experience leading customer-facing teams in high-growth or fintech environments Leadership Expectations As a Store Manager, you will: • Drive performance by setting clear goals, monitoring key metrics, and coaching your team toward results., • Develop talent by mentoring employees, investing in their growth, and building a high-performing team., • Create community by delivering engaging in-store experiences that connect investors with moomoo’s platform., • Competitive salary and performance-based bonuses., • Comprehensive benefits package, including health, dental, and retirement plans., • Opportunities for professional growth and development. 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 $110,000-$140,000. 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.

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 Team & Role: As the Director/AML Compliance, you will lead a dedicated team responsible for monitoring and enforcing anti-money laundering policies and procedures. Your leadership will be crucial in ensuring compliance with regulatory requirements and safeguarding the integrity of our financial services. You will work closely with internal and external stakeholders to identify and mitigate risks, providing expert guidance and oversight. This role must be based at the specified office locations, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter. Office Location: Jersey City, NJ This role must be based on the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter. Requirements What you do • Oversee and manage the firm’s AML compliance program in accordance with the Bank Secrecy Act (BSA), USA PATRIOT Act, and applicable FINRA, SEC, and state regulations., • Act as a subject-matter expert on all AML-related matters, including CDD, EDD, transaction monitoring, sanctions screening, and SARs., • Design, enhance, and optimize AML data flows, reporting, and surveillance processes to improve efficiency and reduce manual review., • Partner with Technology, Operations, and Data teams to implement and refine AML systems, automation, and controls; Actimize experience is a strong plus., • Manage AML alerts, investigations, and escalations, ensuring timely and accurate regulatory filings., • Maintain AML WSPs, risk assessments, and internal controls., • Monitor regulatory developments and ensure ongoing compliance with FINRA, SEC, and state requirements., • Prepare for and respond to regulatory exams, audits, and inquiries., • Influence business decisions by providing risk-based compliance guidance., • Build and maintain strong internal and external relationships., • Provide guidance and training to AML staff and stakeholders. What you offer • Required: Broker-dealer experience, FINRA Series 7 License., • Required: Series 24 (or ability to obtain within 4 months of hire)., • Significant AML experience within a FINRA-registered broker-dealer; clearing firm experience preferred., • In-depth knowledge of current FINRA, SEC, state, and related regulations and rules., • Strong background in AML data, systems, and reporting., • Familiarity with Actimize or similar platforms preferred., • Excellent written and verbal communication skills, with the ability to produce clear, concise reports. What We Offer: • Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents, • 401k Employer Contribution: We match your contributions to help you grow your retirement savings, • Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy, • Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work, • Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success 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 $145,000 - $180,000. 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.

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role: As a Senior Full-Stack Engineer, you will be responsible for designing, implementing, and maintaining systems and services that form the foundation of Alpaca and empower millions of users who trade billions of dollars worth of assets. As part of the Trading API team, you will be responsible for the user experience and product development for Trading API customers, encompassing both the frontend trading dashboards and backend systems that power Trading API product features like elite, high-yield cash, paper accounts, and more. Working closely with our users and internal stakeholders, we specialize in delivering high-quality end-to-end solutions across the full suite of frontend and backend systems at Alpaca. We're looking for someone with a proven track record of designing and building scalable applications with an appreciation of the full-stack user experience. You'll dive deep and specialize in a breadth of backend financial systems - payments, trading, market data, accounts, and more - to deliver innovative product features across the stack, while leading the design and implementation of the components that power elegant and performant frontend user experiences. Things You Get To Do: • Play a pivotal role in architecting and developing software solutions across the full stack that push the boundaries of technology, • Work closely with cross-functional teams and dive deep into the backend systems and infrastructure that power financial markets, • Opportunity to contribute to API design and product features within our ecosystem, • Own the delivery of high-visibility features/projects, from design to deployment, • Mentor peers and influence the technical strategy of our companyWho You Are (Must-Haves):, • 5+ years of experience in full-stack development with Golang & TypeScript/React., • Excellent communication and collaboration skills., • Ability to collect and translate stakeholder requirements into fully realized features., • Proficient in TypeScript and React., • Proficient in HTML and CSS frameworks such as TailwindCSS., • Proficient in at least one modern systems programming language like Golang or C#., • Passionate about creating intuitive and performance user interfaces., • Experience with SQL and relational databases, preferably PostgreSQL., • Experience with REST APIs and best practices., • Attention to detail and an appreciation for design aesthetics.Who You Might Be (Nice-to-Haves):, • Algo trading experience (either professional or personal)., • Experience with major cloud platforms (we primarily use GCP)., • Experience or understanding of financial markets., • Experience with Docker and Kubernetes., • Experience working at a startup., • Experience working remotely.How We Take Care of You:, • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job DescriptionSalary: Senior KYC Analyst Company:SoHo Dragon represents an Investment Bank client Location:Hybrid New York City Contract: 6 months About the Role SoHo Dragon represents an investment bank client seeking a Senior KYC Analyst for a6-month contract to cover foran experienced senior analyst. Location: New York City office (4 days onsite, 1 day remote). This is a high-visibility role that requires a confident, articulate professional who is equally comfortable conducting deep-dive due diligence and presenting findings to senior business stakeholders and management. RESPONSIBILITIES • Act as part of the bank's Client Lifecycle and Digital Group (CLD), which serves as a transversal client group for all B2B clients and oversees Operations and IT related to the full client lifecycle, including onboarding, reviews, and offboarding., • Ensure consistent implementation and application of the banks local and global KYC policies and procedures, FATCA requirements, and other regulatory obligations related to client onboarding and periodic reviews., • Review all new client requests and determine the required documentation to meet regulatory and internal requirements., • Maintain strong working knowledge of AML and OFAC regulations, as well as policies and procedures., • Build and maintain strong working relationships with business lines and AML Compliance., • Apply Know Your Customer procedures to assigned accounts., • Conduct Integrated Due Diligence, Internal Outreach, Customer Due Diligence, and Enhanced Due Diligence activities, including screening, for assigned clients., • Ensure that all information and documentation provided by business lines is accurate, complete, and in appropriate form., • Maintain high standards of quality and productivity, including the preparation of high-quality KYC memos., • Perform quality control and validation of all KYC files., • For High and Medium-High risk clients, review and validate KYC memos prior to submission to Business and Compliance., • Provide timely updates to the Team Lead and escalate or flag issues identified during KYC reviews., • Resolve all post-completion matters, including remediation of errors. Mandatory • Minimum of 6 years of experience in the Financial Services industry in a KYC or AML-related role., • Strong understanding of risk-based KYC principles, client risk assessment, and products used in wholesale banking and institutional broker-dealer environments., • Strong written and verbal communication skills., • Ability to work independently and exercise sound judgment to manage issues appropriately and in a timely manner., • Strong analytical skills with the ability to produce clear, well-written KYC memos., • Excellent time management skills and ability to work under pressure., • Proficiency in Microsoft Office (Word, Excel, PowerPoint)., • Bachelors degree in business, economics, or a related field. Nice to have • ACAMS certification., • Proficiency in French, Spanish, or Portuguese.

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. About the Role We are looking for a highly analytical and driven Market Risk Analyst to join our growing Risk team. As we expand our product suite into high-leverage and complex instruments we need a specialist who can ensure our growth is sustainable and our exposures are rigorously managed. In this role, you won't just be "watching the screens." While your primary focus is Market Risk, you will be a member of a team building a world-class Enterprise Risk Management (ERM) function. You will bridge the gap between deep quantitative trading risks and the broader strategic risk landscape, providing generalist support across operational, liquidity, and credit risk domains. What You'll Be Doing • Market Risk Management: Design, implement, and monitor risk limits for new products. Perform daily monitoring of Value-at-Risk (VaR), stress testing, and sensitivity analysis., • Margin Architecture: Collaborate with Engineering and Product teams to refine and stress-test our Margin engine, ensuring margin requirements accurately reflect cross-product offsets and tail risks., • ERM Framework Development: Assist in the design and roll-out of the Enterprise Risk Management framework. This includes defining Risk Appetite Statements (RAS), maintaining the Risk Register, and developing Key Risk Indicators (KRIs) that span across the organization., • New Product Approval (NPA): Act as the risk lead for the launch of new products, identifying unique risks associated with event-based binary outcomes and liquidity fragmentation., • Stress Testing & Scenario Analysis: Develop forward-looking scenarios (including "black swan" events) to assess the impact of market volatility on the firm's capital and liquidity positions., • Cross-Functional Support: Support the wider Risk team in Operational Risk assessments, internal audits, and regulatory reporting requirements., • Automation & Reporting: Build automated risk dashboards and reporting tools using SQL/Python to provide real-time insights to the Chief Risk Officer and Senior Management.What You'll Need, • Experience: 2–5 years of experience in Market Risk, Middle Office, or Quantitative Analysis within a fintech, hedge fund, or high-frequency trading environment., • Product Knowledge: Deep understanding of derivatives (Futures/Options) and margin mechanics. Experience with Prediction Markets or event-driven trading is a significant plus., • ERM Familiarity: A solid understanding of the "Three Lines of Defense" model and a desire to contribute to broader risk governance beyond just market data., • Quantitative Skills: Proficiency in SQL and Python (or R) for data analysis. You should be comfortable handling large datasets and building your own risk models., • Problem Solving: The ability to operate in a "gray area" defining risk parameters for novel products that may not have established industry benchmarks., • Communication: Ability to distill complex quantitative risks into actionable insights for non-technical stakeholders and executive leadership., • Education: A degree in a quantitative field (Finance, Mathematics, Physics, Economics, or Engineering). Financial Risk Manager (FRM) or CFA designation is a plus.Nice to Have, • Experience in a high-growth startup environment., • Direct experience with SPAN or TIMS margin methodologies., • Familiarity with regulatory frameworks (e.g., SEC/FINRA, CFTC, or international equivalents) regarding margin and capital requirements.How We Take Care of You:, • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role Alpaca is building an AI Enablement function to move the company from scattered AI experimentation to durable, company-wide productivity gains. As Senior AI Platform Engineer, you will own the technical capability layer that makes that possible. You will build and maintain the platform infrastructure, connectors, execution patterns, and self-service tooling that lets engineering and business teams use AI safely at scale by turning one-off setups and ad hoc tooling into reusable infrastructure, secure deployment standards, and productized onboarding. This role requires hands-on experience building with agentic AI systems. This is not classical ML pipelines, but the emerging stack of LLM-powered agents, tool use, evaluation loops, and autonomous workflow execution. You should know this space well enough to make opinionated decisions about execution patterns, isolation boundaries, and what "safe and reliable" actually means for agents with real tool access. This is a startup-inside-a-scaleup role. You will need to move fast with limited resources while meeting the standards a regulated fintech environment requires. You will work closely with DevOps, Security, IT, and engineering teams across the company. Things You Get To Do • Own the connector and service integration layer that powers AI workflows across the company., • Design and ship execution environments for agents and higher-autonomy AI workflows, including isolation boundaries and access controls., • Build reusable platform services, golden paths, and self-service templates that reduce setup friction for teams building on AI., • Productize onboarding so it works reliably for both developers and non-developers without depending on manual intervention or tribal knowledge., • Define and enforce technical standards for agent execution, evaluation loops, and deployment., • Partner with Security and IT to ship deployable patterns for higher-risk AI capabilities., • Own the AI governance layer: access controls, audit trails, approval criteria, and deployment boundaries for agentic workflows., • Set the reliability, observability, and operational bar for AI-specific infrastructure., • Act as the technical escalation point when onboarding or platform issues block rollout., • Reduce the company's dependence on individual heroics by turning exception handling into repeatable paths.Who You Are (Must-Haves), • 8+ years in software, platform, infrastructure, or adjacent engineering roles., • Hands-on experience building agentic AI systems: LLM-powered workflows, tool-calling agents, evaluation loops, or autonomous execution — using frameworks like the Claude SDK, Google Agent Development Kit (ADK), LangGraph, or similar. Not classical ML or data pipelines., • Direct experience with GCP. We run on Google Cloud and you should be comfortable there., • Strong experience with APIs, auth, OAuth, secrets, CLI tooling, and deployment patterns., • Cloud-native systems experience with containers, orchestration (Kubernetes), and infrastructure-as-code., • Experience implementing AI governance controls: access boundaries, audit logging, approval workflows, and safe deployment standards for higher-autonomy systems., • Comfortable operating in both fast-moving, low-process environments and more structured, compliance-aware ones. You know when to move fast and when to slow down., • Strong bias toward simplification, standardization, and operational reliability over clever one-off solutions., • Excellent communication skills with the ability to work across engineering, security, and non-technical stakeholders.Who You Might Be (Nice-to-Haves), • Shipped production agentic systems with real external tool access (filesystems, APIs, staging systems)., • Hands-on experience with Google Agent Engine (Vertex AI Agent Builder) or equivalent managed agent execution platforms., • Direct experience with AI-native coding environments (eg. Cursor, Claude Code). You have strong opinions on how these tools fit into a real engineering workflow., • Designed or operated agent sandboxing, isolation, or evaluation frameworks., • Built self-service developer platforms or golden paths used by multiple teams., • Has startup experience and knows how to build durably with limited resources., • Familiarity with fintech, regulated environments, or compliance-aware deployment. How We Take Care of You: • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job DescriptionAt Morgan Wilshire Securities, Inc. our specialty is locating the best possible investment opportunities tailored to the unique needs of our clients. We Customize goals-based financial plans and help clients manage their portfolios. Committed to delivering the highest quality investment advice, we recognize that our own success is intrinsically linked to the success of our clients. Client satisfaction is therefore our first priority. Financial Advisor Trainee Responsibilities: As a Morgan Wilshire team member, you will work with top-tier professionals spearheading innovation and growth at a top Broker-Dealer. Through our training program, hands on experience, mentoring and development opportunities, you will rapidly become fluent in real-world investing for a broad range of clients. Financial Advisor Trainee Qualifications: Hard working, clear and concise communication, respectfulness, and open mind to learn something new. Mastery of this profession will change your life for the better!! Job Type: Full-time Pay: $30,000 to $60,000 per year Benefits: Tuition reimbursement Weekly schedule: Monday to Friday Work setting: In-person at Garden City location

Job DescriptionAVP, QA Automation Engineer OTC Markets Group - New York, NY - Full Time OTC Markets Group Inc., operator of premier US financial marketplaces, is seeking a QA Automation Engineer, to join our Technology team. The QA Engineer will work with the Development and QA Teams to understand the business and system requirements and test scenarios respectively related to the applications we build or modify the automation framework. This individual will be part of an agile team responsible for analyzing product functionality, designing test strategies, and executing test scenarios both manually and through automated test frameworks built with JavaScript. We value curious, persistent, and technically driven people who take ownership of quality and enjoy building industry-standard solutions. If this sounds like you, we’d love to talk to you. We invest heavily in employee satisfaction and offer all our employees a highly competitive compensation package. As a dynamic, growing company that fosters an open culture, we emphasize autonomy, responsibility, innovation, and self-discipline. We are looking for someone who wants to make an impressive impact at a company known for its reputation on quality and achievement. Base compensation for this role is up to $155,000 annually, depending on experience. In addition, the position is eligible for our discretionary annual bonus program and equity. What You’ll Do: • Collaborate with our development teams to ensure high-quality outcomes throughout the Agile development lifecycle, encompassing architecture, story definition, development, testing, and release., • Develop Test cases and execute various types of testing, such as Functional, Integration, Regression, Data Validation, User Interface, that ensure high-quality software is delivered in every release, • Troubleshoot application issues and report technical findings to development, • Write and maintain UI test automation (JavaScript) to cover critical integrations and end-to-end workflows, • Additional responsibilities, as assigned.What We’re Looking For:, • 3+ years of experience in QA and test automation in Web or a Bachelor's in Computer Science, • 2 + years of experience in JavaScript (ES6 and higher), • Good understanding of databases and AWS Services., • Good knowledge of SQL and some experience with databases: PostgreSQL, Informix, MySQL, • Experience with the latest tools and industry best practices UI test automation (e.g. Playwright/WebDriver IO), • Linux and GIT knowledge, • Ability to diagnose application issues (reviewing application logs, reviewing server stats, etc.), • Clear understanding of the following tech/tools:, • Automation Languages: JavaScript, • Automation Frameworks: Playwright, Jasmine, • API Testing: Jasmine, JavaScript, • Database: Postgres, Informix, • Backlog Management & Collaboration: Jira, Teams What OTC Markets Offers its Team Members (Why You Should Choose Us): Benefits: • Generous Paid Time Off (PTO), • Health, Dental, and Vision Coverage, • Health Savings Account (HSA), • Flexible Spending Accounts (FSA) Dependent & Healthcare, • Limited Purpose Flexible Spending Account (LPFSA), • Generous Paid Parental Leave Program, • Annual bonus and Stock Incentive Program, • 401(K) Plan - Retirement, • Commuter Transit & Parking Program, • Income Protection (Life Insurance, Short- & Long-Term Disability), • Voluntary Benefits (Accident, Critical Illness, & Hospital Indemnity)Perks:, • Hybrid Work Schedule, • Class Pass Partnership (Fitness & Wellness Programs), • Citi Bike Membership Program, • Mondays – Breakfast Bagels & Wednesdays – Pizza Lunch, • Office Snacks and Beverages, • Monthly birthday celebrationsAbout OTC Markets Group Inc. OTC Markets Group Inc. (OTCQX: OTCM) operates regulated markets for trading 12,000 U.S. and international securities. Our data-driven disclosure standards form the foundation of our public markets: OTCQX® Best Market, OTCQB® Venture Market, OTCID™ Basic Market and Pink Limited™ Market. Our OTC Link® Alternative Trading Systems (ATSs) provide critical market infrastructure that broker-dealers rely on to facilitate trading. Our innovative model offers companies more efficient access to the U.S. financial markets. OTC Link ATS, OTC Link ECN, OTC Link NQB, and MOON ATS™ are each SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. To learn more about how we create better informed and more efficient markets, visit . We are an equal opportunity and E-Verify employer and prohibit discrimination and harassment of any kind. All employment decisions are based on business needs, job requirements, and individual qualifications, without regard to race, creed, color, religion, gender, national origin, age, marital status, political belief, physical or mental disability, sexual orientation, military or veteran status, genetic information, family or parental status, gender identity, pregnancy, including childbirth or related medical condition, or any other characteristic protected by federal, state, or local law. We encourage applicants of all ages and backgrounds. Applicants have rights under Federal Law: Equal Employment Opportunity is the Law Polygraph Protection Act FMLA Powered by JazzHR OJXbxCtJPx

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role: As a Senior Software Engineer on the Tax Platform Engineering team, you will architect, build, and scale the mission-critical systems that ensure accuracy, verifiability, and compliance for our global tax obligations. You will be responsible for engineering the durable systems of record that serve as the definitive source of truth for our financial operations, directly mitigating financial risk and ensuring auditable adherence to complex financial laws in a high-volume, regulated environment Key Responsibilities: • Design, build, and operate highly scalable, resilient, and secure microservices and data processing systems using idiomatic Golang., • Model complex, long-running tax reporting business logic as durable, stateful workflows using Temporal to ensure correctness and reliability., • Implement and optimize data pipelines consuming financial events from Redpanda, ensuring data quality, timeliness, and integrity., • Collaborate with cross-functional teams of tax analysts, legal experts, and product managers to translate complex and evolving regulatory requirements into robust, maintainable, and verifiable software solutions., • Provide technical leadership and mentorship, driving best practices in distributed system design, API definition with gRPC, code quality, and advanced testing strategies., • Build systems with auditability, traceability, and data lineage as a first-class concern to ensure transparency for our auditors and regulators., • Own the full lifecycle of your services, including automated deployment (CI/CD with tools like Jenkins and Terraform), proactive monitoring, and incident response, following a "you build it, you run it" philosophy. Technical Environment: • Backend Services: Microservices written in Golang for performance, simplicity, and concurrency., • API Communication: gRPC with Protocol Buffers (Protobuf) for high-performance, strongly-typed, and versionable service-to-service APIs., • Workflow Orchestration: Temporal for durable execution of long-running, auditable business logic workflows., • Streaming Data: Redpanda as a high-throughput, low-latency, Kafka-compatible streaming platform for all tax-relevant financial events., • Infrastructure: Cloud platforms (AWS), containerization (Docker, Kubernetes), and Infrastructure as Code (Terraform)., • Observability: Modern monitoring and observability tools include Prometheus, Grafana, and Datadog. Must-Haves: • 5+ years of professional software engineering experience, with a proven track record of shipping and operating complex, large-scale systems in production., • Deep, hands-on expertise in Golang, including a strong command of its concurrency models (goroutines, channels), memory management, and standard library., • Demonstrable experience in designing, building, and reasoning about distributed systems, including a strong understanding of microservices architecture and API design patterns (e.g., REST, gRPC)., • Exceptional analytical and problem-solving skills, with the ability to deconstruct complex requirements into clear technical components and excellent communication skills for working in a cross-functional environment. Nice-to-Haves:, • Hands-on experience with Temporal or similar durable execution systems like Cadence or AWS Step Functions., • Experience with Redpanda or Apache Kafka, with a solid understanding of the Kafka protocol., • Production experience with gRPC and Protocol Buffers (Protobuf)., • Proficiency with AWS, containerization (Docker, Kubernetes), Infrastructure as Code (Terraform), and CI/CD pipelines (e.g., Jenkins)., • Experience with modern observability tools like Prometheus, Grafana, and distributed tracing systems., • Prior experience in FinTech, RegTech, or another highly regulated industry with familiarity with financial data or compliance systems.How We Take Care of You:, • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role: Alpaca's product team is looking for a Lead Product Manager to own Alpaca's regulated crypto product surface and to step into a leading role across our crypto programs. In this role you will own and grow a portfolio that spans crypto trading and multi-asset cross-margin, borrow / lend / earn, custody and on-chain settlement, tokenization (transfer agent, tokenized money market funds, on-chain issuance), and partnership programs from idea to launch. You will partner deeply with engineering, compliance, legal, partnerships, and the broader Alpaca product team to ship regulated crypto infrastructure at scale. You will help shape and grow the crypto product itself, and you will be expected to provide early signal on US policy changes rather than react after rules formalize. Things You Get To Do: * Product Ownership & Strategy • Lead Alpaca's crypto product strategy across trading, borrow / lend / earn, custody, on-chain settlement, and tokenization., • Own flagship initiatives end-to-end — including multi-asset cross-margin, licensing build-out, transfer-agent-licensed tokenization, on-chain issuance for partners, stock loan tokenization, and tokenized money market funds., • Drive build-vs-buy, partner-vs-direct, and onshore-vs-offshore tradeoffs across regulated crypto products., • Take leadership of a portfolio of in-flight crypto projects, with the autonomy to set priorities, escalate tradeoffs, and unblock the team. Partnerships & Growth • Take partnership programs end-to-end: idea → launch → PR → growth (e.g. exchange-grade partnerships)., • Run discovery with prospective and existing partners — broker-dealers, exchanges, custodians, stablecoin issuers, neobanks, and institutional clients., • Translate partner needs into prioritized product decisions with clear "yes / no / not now" framing that doesn't over-promise. Regulatory & Policy • Engage directly with US regulators and policy stakeholders (NY DFS, SEC, FinCEN, FINRA), partnering with internal legal and compliance on transfer-agent, broker-dealer, and tokenized-securities frameworks., • Provide an early heads-up on US policy changes - feed signal into the broader Alpaca roadmap before rules formalize., • Own the operational and regulatory implications of crypto product launches (custody, settlement, AML, market integrity). Team & Leadership • Help build and develop the Alpaca crypto PM team; hire and ramp existing PMs, set bar and standards across the cluster., • Represent crypto in cross-functional forums; product reviews, partner exec syncs, and leadership-level discussions., • Ad hoc duties and projects as assigned. Who You Are (Must Haves): • Excited about what Alpaca is building and ready to take a leadership role across our most ambitious crypto programs., • Bachelor's degree in computer science, engineering, finance, or equivalent., • 8+ years of experience in Product Management, Engineering, and/or starting a startup, with senior-level ownership in crypto, brokerage, exchanges, or financial infrastructure., • Demonstrated ownership of regulated crypto products at production scale across any of the following: borrow / lend / earn, multi-asset cross-margin, custody, on-chain settlement, tokenization, or stablecoin / payment rails., • Direct experience navigating US crypto regulatory frameworks — NY DFS BitLicense, SEC transfer-agent rules, FinCEN, FINRA broker-dealer rules, and SEC tokenized-securities frameworks., • Track record of taking partnership programs from idea to launch to PR to growth., • AI-native PM workflow; AI is part of your daily stack in getting work done., • Business acumen to understand tradeoffs between stakeholders and technology feasibility with time and budget constraints. Who You Might Be (Nice-to-Haves): • Hands-on web3 / on-chain engineering fluency — wallets, L1/L2, atomic on-chain mint flows, MEV-aware design., • Experience with tokenized money market funds, tokenized securities, RWA issuance, or other regulated tokenized-asset products., • Direct experience launching crypto borrow / lend, prime brokerage, or cross-margin products at scale., • Familiarity with onchain settlement layers (including broker-dealer integration patterns) and stablecoin payment rails., • Direct experience navigating SEC / DFS / FINRA in a startup setting, not just at a large bank or exchange., • Background combining regulated financial product context (broker-dealer, exchange, custodian) with crypto-native infrastructure. How We Take Care of You: • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job Description 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. Job Summary: As a Senior Strategic Partnerships Manager for moomoo, you will own the development and execution of B2B2C partnership strategies across existing and new customer acquisition channels. You will play a crucial role in identifying partnership opportunities, negotiating beneficial terms, maintaining partner relationships, and internal cross-functional coordination to drive successful campaigns. The ideal candidate is a strategic thinker with a proven track record in partnership management, relationship building, and experience in the fintech or brokerage industry. Key Responsibilities: • Develop and implement comprehensive B2B2C partnership strategies aligned with moomoo's marketing and business objectives, focusing on reducing CAC and improving acquisition efficiency., • Identify, target, and establish relationships with potential partners, including financial institutions, communities, fintech platforms, media, affiliates, and other relevant organizations., • Negotiate and finalize partnership agreements to maximize value for all parties, drive revenue growth, and lower acquisition costs., • Implement cross-promotion strategies with partners to expand reach and reduce marketing expenses., • Collaborate with internal teams, including marketing, product development, and compliance, to ensure successful execution of partnership initiatives and seamless integration of new acquisitions., • Manage and nurture existing partner relationships to ensure satisfaction, identify opportunities for growth, and optimize CAC reduction strategies., • Analyze market trends, competitive landscape, and customer needs to inform partnership strategies and initiatives., • Develop and track key performance indicators (KPIs) to measure the success of partnerships, focusing on CAC reduction and conversion rate improvements., • Prepare and present regular reports to senior management on partnership performance, new opportunities, and high-level strategy., • Bachelor's degree in Business Administration, Marketing, Finance, or a related field;, • Minimum of 3-5 years of experience in partnership management or business development, with a focus on both B2B and B2C marketing campaigns in the fintech or brokerage industry., • Proven track record of successfully establishing and managing strategic partnerships that drive consistent user growth., • Experience in executing or supporting large-scale sports events, preferably in baseball, as well as high-impact marketing campaigns. Experience in cross-functional collaboration and external partnerships is highly valued., • Strong negotiation skills and the ability to communicate confidently with decision-makers at all levels., • Excellent digital, presentation, and interpersonal skills., • Ability to analyze market trends, customer behavior data, and business metrics to drive strategic decisions and optimize partnership performance., • Experience in developing and implementing affiliate marketing programs and other performance-based partnership models., • In-depth knowledge of financial products, services, and regulations in the brokerage industry., • Familiarity with data-driven decision-making processes and analytics tools for measuring partnership success through common metrics such as CAC, ARPU, CPFA, LTV, ROAS., • The job requires 4days onsite at the MOOMOO US Jersey City office. *Only shortlisted candidates will be contacted. Benefits 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 $96,000-$132,000. 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.

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role As Director, Tax Reporting & Cost Basis, you will define and lead Alpaca's global tax reporting strategy, with a U.S.-first foundation and expanding international complexity. You will own the end-to-end design, build, and execution of a proprietary cost basis engine and scalable tax reporting infrastructure. This includes ensuring accurate, timely, and compliant reporting across regimes such as 1099, 1042-S, 5498, and contribution-related reporting, while building frameworks to support global clients. Your mandate is to deliver a clean, accurate, and on-time tax season every January, supported by rigorous processes, repeatable playbooks, and proactive system validation throughout the year. Things You Get to Do • Define and execute Alpaca's global tax reporting strategy, balancing U.S. requirements with international client needs, • Architect and lead the build of a proprietary cost basis engine from the ground up, in close partnership with Engineering, • Design and implement a global tax matrix (country of residence vs. security domicile) to determine treaty rates and withholding logic, • Oversee all reporting obligations including 1099, 1042-S (non-U.S. persons), 5498 (retirement accounts), and contribution-related reporting, • Establish a year-round tax readiness program, including multiple test cycles, reconciliations, and "dry runs" to validate systems and data pipelines, • Own delivery of a flawless January tax season, with clear guidelines, SLAs, and operational rubrics for execution, • Build and scale a high-performing team, setting standards for accuracy, accountability, and continuous improvement, • Partner cross-functionally with Product, Engineering, Compliance, and Operations to embed tax logic into core systems, • 10+ years of experience in brokerage tax reporting and cost basis, with deep U.S. expertise, • Hands-on experience building or leading the development of a cost basis engine or similar financial calculation system, • Strong knowledge of 1099-COMP, 1042-S, 5498, and contribution reporting, including retirement account considerations, • Experience supporting global clients, including understanding of withholding, treaty rates, and cross-border tax implications, • Proven ability to design scalable systems, controls, and processes from scratch, • Track record of leading teams and delivering accurate, on-time tax reporting cycles, • Experience building a residence vs. security domicile matrix for treaty rate application, • Background in API-first brokerages, clearing firms, or multi-asset platforms, • Familiarity with international tax regimes and reporting beyond the U.S., • Experience running mock tax seasons, parallel runs, or large-scale system validation cycles, • CPA or equivalent certification, • Experience working directly with regulators or leading large-scale auditsHow We Take Care of You:, • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full-service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Job Description The firm is seeking a Branch Operations Specialist to join their branch office in Saddlebrook, NJ or Florham Park, NJ. This role requires superior interpersonal skills as well as organizational and multi-tasking skill sets. The candidate should be able to operate independently as well as a member of a team under the leadership of the Branch Manager. This position will report to the National Branch Operations Administrator with secondary reporting to the Branch Manager. Responsibilities • Assist in maintaining the day to day operations to ensure operational excellence, • Support client onboarding process, • Maintain and process documents, • Assist with audit preparations, • Communicate effectively and efficiently with home office personnel, • Interact and support branch staff and all levels of management, • Interact on routine/sensitive matters, • Ensure that all documents are sent to home office in a timely manner, • Cross training within other positions in the Operations area, • FINRA Registration: SIE and Series 99 required (Within 6 months of hire), • Brokerage operations experience, • Strong attention to detail and accuracy, • Intermediate Microsoft Office skills, • Ability to navigate multiple computer systems, applications, and utilize search tools to find information, • Excellent verbal, written, and interpersonal communication skills For job postings in New Jersey, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the State of New Jersey and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $50,000.00 - $60,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Job Description Oppenheimer & Co. Inc. is seeking a Branch Examiner to join our Compliance team who will report to the Branch Examiner Manager. The Branch Examiner is responsible for conducting onsite branch examinations of Private Client Group branch offices throughout the U.S. The ideal candidates must be within commuting distance to any of the following branch offices: Boston, MA, Fort Lauderdale or Tampa, FL, Dallas, TX, Los Angeles or San Francisco, CA, Kansas City, MO, Chicago, IL, or New York City, NY. Responsibilities: • Execute Branch Examination Program to Private Client Group branch offices across the U.S, • Travel to branch offices to review office records, completed questionnaires, and branch operating procedures to ascertain compliance with Firm's policies and procedures, SRO Rules, and regulations, • Conduct one-on-one meetings and interviews with branch management and personnel, • Must follow a set of modules from the Branch Examination Program, • Communicate exam findings to Branch management, exam managers and compliance leadership, • Two to three years of experience in Branch Examination, Compliance or Financial Services, • Knowledge of rules and regulations of SEC, FINRA and state securities regulatory agencies, • FINRA Series 7, preferred, • Effective communication skills and attention to detail, • Ability to follow directions and procedures accurately and thoroughly, • Possess a high degree of proficiency with technology including MS Office products (Word, Excel, PowerPoint and Outlook), • Demonstrate strong accuracy and thoroughness in all facets of daily work and possess superb organizational skills For job postings in the states of California and New York, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to California and New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $65,000.00 - $83,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Job Description: Oppenheimer & Co. Inc. is seeking a Compliance Professional to join our Compliance Department in New York. The position will be part of a team that supports the Oppenheimer Asset Management business, which includes a dually registered broker-dealer and an investment adviser with several affiliated advisers. The ideal candidate must be able to work in a fast-paced environment, work independently, and demonstrate strong relationship management skills. Responsibilities: • Review marketing and advertising materials for proprietary and third-party funds and advisory programs to ensure compliance with the applicable FINRA and SEC marketing rules for the dually registered broker-dealer and investment adviser, • Draft appropriate disclosures for marketing and advertising materials, • Submit required marketing materials to FINRA and coordinate correspondence, • Advise broker-dealer and investment advisers on marketing and advertising issues, • 2+ years of working experience with Advisers Act and FINRA regulations, • Understanding of wealth management and investment advisory products, including “wrap fee” separate account programs, private and registered investment funds, as well as the regulatory landscape of investment advisers and broker-dealers., • Ability to interpret legal and business terms and grasp concepts quickly, • Strong attention to detail, critical-thinking, and analytical skills, • Must be an ambitious, dedicated, and results-oriented individual that is an independent thinker and takes ownership of his/her work and enjoys collaborating within a team environment, • Proficient computer skills and knowledge of web browsers and web searching skills For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $90,000.00 - $125,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full-service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Job Description The firm is seeking a Senior Branch Operations Manager to join Oppenheimer’s Coral Gables branch, in Coral Gables, FL. Our office works with domestic, offshore, and institutional clients. This role with have a dual reporting structure to the Branch Office Manager and National Branch Operations Administrator. The candidate will be responsible for the day-to-day supervision and workflow of all operations functions which include, but are not limited to the following: Responsibilities: • All money movement, fund disbursement and/or fund receipt activity, in accordance with FINRA rules, • All order processing, including cancelations, corrections and other critical order-related workflow, including client service inquiries and resolutions, • Account opening, • Supervisory engagement with local resources (i.e. Branch Control Officer) to fulfill supervisory requirements, • Train and lead operational support staff, • Acts as liaison between the Branch and all Firm infrastructure areas, • Support Financial Professional onboarding, • At least 5+ years of brokerage/financial services experience along with management experience, • FINRA Registrations: Series 7, 63/65 or 66 and 8 or 9 & 10 required, • Strong attention to detail and accuracy, • Ability to navigate multiple computer systems, applications, and utilize search tools to find information, • Excellent verbal, written, and interpersonal communication skills, • Effective organizational, multi-tasking, and prioritizing skills, • Able to work independently, proactively and innovatively while exercising sound judgment, • Intelligent, enthusiastic self-starter with proven ability to work closely with Financial Advisors and other team members, • High ethical standards, • Excellent time management conflict resolution skills, • Strong working knowledge of Microsoft Office Suite

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full-service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Job Description: Oppenheimer & Co. Inc., a leading investment bank, is currently seeking an equity research associate to support the award-winning Software franchise. The position is located in San Francisco or New York City. Our ideal candidate has been an equity research associate in technology, another sector and wants to move over to cover the software industry, or has a strong background in finance and accounting, and is proficient at modeling complex businesses and working with AI technology. Strong modeling skills is a must have for the job. Prior work experience analyzing or managing financial statements or quarterly earnings reports as part of a wealth management institution, an investment bank, an accounting firm, or an accounting or finance role within a finance department is ideal. Exposure to the software industry and/or to equity research is a plus, though we will consider all qualified candidates. The research associate will be part of a small team and will work in conjunction with and support the senior analyst, on all aspects of developing and marketing equity research products, including: research reports, models, and industry analysis. The position demands independence, initiative, a willingness to travel to industry events, and entrepreneurship, as the associate will gain responsibility over a broad array of financial model building and updating, report writing, and other duties. Attention to detail, a strong work ethic, and ability to multi-task are also critical. In addition to the above, we look for people who possess, or have the potential to possess, the following characteristics: • Strong financial modeling, accounting, valuation, and quantitative skills. Associates are responsible for building and maintaining integrated I/S, B/S, and C/F models, and for organizing and maintaining industry data., • Strong writing and analytical skills. Associates are responsible for writing and producing company initiations, equity research reports, and marketing presentations., • A passion for the stock market, the technology industry, and equity research. It is highly advantageous to have exposure to the financial markets and equity research, as well as an understanding of the day-to-day responsibilities of an equity research associate., • Strong sales and communication skills. Associates will interact with internal sales and trading and external clients. Responsiveness and professionalism is important., • Ability to work independently and initiate and accomplish projects with minimal supervision., • Self-starters with a strong work ethic are necessary skills given the demands of working for a Wall Street firm., • Ability to organize, prioritize and manage multiple projects simultaneously., • PC skills: the position requires strong Excel skills and a fair command of Word, PowerPoint, Bloomberg, FactSet and AI technology like Copilot. For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $100,000.00 - $150,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer, With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Our Investment Banking Team is committed to providing in-depth industry knowledge and delivering creative, market-based strategies to clients in all major industries, with a specific focus on Consumer and Retail, Energy, Financial Institutions, Healthcare, Industrial Growth and Services, Industrials, as well as Technology, Media and Communications. Our range of services includes Equity Capital Markets, Debt Capital Markets, Mergers and Acquisitions, Debt Advisory & Restructuring, Debt Private Placements and Fund Placement & Advisory. This combination of industry and product groups enables the firm to deliver advice, strategies and capital with a universal banking approach to our target clients – high growth, entrepreneurial, middle market companies. Position available for immediate hire. Job Description Our Healthcare Equity Capital Markets team is actively looking for a VP / Director for our New York office. The qualified candidate will have a high level of responsibility and extensive access to senior management and clients. The candidate will be working closely with senior members of our Healthcare Industry Group to originate and execute equity and equity-linked transactions. Responsibilities: • Prepare complex financial analysis on companies looking to execute an equity capital raise, • Prepare client pitch materials evaluating the most beneficial structure for an equity capital raise, • Evaluate current and historical market data to support recommendations to clients, • Support the preparation of detailed memoranda and presentations describing the key attributes of client companies, • Research and maintain databases of key healthcare investors, • Manage the execution of equity offerings and communicate with the client’s Management team, • Act as primary coverage for key accounts, including idea generation and client interaction / relationship building, • Participate in various marketing and recruiting activities of the firm, • Must have 3-5 years of experience in ECM, primarily execution, • Healthcare experience required, • Sales-driven mentality with a strong capital markets acumen, • Strong verbal and written communication skills, • Elevated attention to detail and consistency in work product, • Strong work ethic and team player, • Dealogic, Ipreo, CapIQ, PlacementTracker, Bloomberg, MS Office suite knowledge strongly preferred For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $200,000.00 - $220,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Job Description Position Title: UX Designer Reports to: Director, Creative Services Department: Marketing, Creative Services Location: Minneapolis, MN OR Summit, New Jersey Classification: Full-time, in-office Summary / Job Objective: Simplicity Group is seeking a creative and collaborative UX designer to join our creative services team. The ideal candidate is a problem-solver with a passion for aligning design with functionality to create a positive user experience. This role requires proficiency in Salesforce and HTML/CSS/or the ability to communicate effectively with developers. Familiarity with design systems and front-end implementation tools is also required, along with strong visual design skills. Essential Job Functions: As a UX designer, you will help define and improve the usability and effectiveness of our digital products (e.g., advisor/agent portals, internal tools, and applications) through process, structure, research, and execution. Your essential functions will center on ensuring our internal platforms are intuitive, efficient, and meet user needs. Your daily tasks will include conducting foundational research to analyze current and future user journeys, developing interactive prototypes to test user interactions, and testing the overall usability of our systems. Primary Responsibilities: · Perform UX research through user interviews, internal usage data, and competitive analysis · Prepare and deliver detailed design specifications and assets · Develop interactive prototypes to test user interactions · Create wireframes to focus on product structure and functionality of new features · Work closely with internal technology and operations teams to understand business requirements and ensure technical feasibility · Translate complex business processes and financial concepts into clear and logical user flows and journey maps to visualize the user's path through the product · Serve as a bridge between technology and design and effectively pitch the value of insights and ideas for different departments · Focus on the “big picture,” thoroughly understanding how design and technology changes affect the overall user experience · Ability to adapt to shifting priorities and timelines Qualifications: · Salesforce Certified Platform Strategy Advisor (Preferred) · Strong UX or Strategy Design Portfolio (Required) · Minimum 3 years of UX or Strategy Design Experience (Required) Core Competencies: · Wireframing & Prototyping · User Research · Visual/UI Skills · Information Architecture · Problem Solving · Business Acumen Compensation & Benefits: Compensation (based on experience) · Annual Salary: $85,000 - $100,000 · Annual performance bonus target: 7% Benefits • Employee benefits (medical, dental, vision, life insurance, other), • 401k with employer match, • Paid Time Off, • Paid parking Location: 475 Springfield Ave Summit, NJ 07901 OR 3600 American Blvd W #700 Minneapolis, MN 55439 *This role is an in-office position Company DescriptionHeadquartered in Summit, New Jersey, Simplicity Financial Marketing Group Holdings (“Simplicity Group”) is a financial holding company in the independent financial services sector that specializes in the distribution of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker-Dealer, partners with insurance and investment professionals to help provide consumers with guaranteed income and life insurance products, wealth accumulation strategies, disability, and long-term care protection in support of a holistic financial strategy. Through its vast distribution network of insurance, wealth, and institutional channels, Simplicity Group has assisted with the placement of more than $10 billion of insurance assets and has $10 billion of assets under management and advisement as of Q4 2024. Simplicity Group is a fast-growing business, focused on organic growth initiatives to help its distribution partners expand their businesses. Simplicity Group has over 1,200 employees and 90 operating subsidiaries. Simplicity Group is owned by two of the leading San Francisco-based financial and tech-enabled services private equity firms and by its operating Partners, who help drive the company’s day-to-day business. For more information, please visit simplicitygroup.com.Headquartered in Summit, New Jersey, Simplicity Financial Marketing Group Holdings (“Simplicity Group”) is a financial holding company in the independent financial services sector that specializes in the distribution of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker-Dealer, partners with insurance and investment professionals to help provide consumers with guaranteed income and life insurance products, wealth accumulation strategies, disability, and long-term care protection in support of a holistic financial strategy.\r\n\r\nThrough its vast distribution network of insurance, wealth, and institutional channels, Simplicity Group has assisted with the placement of more than $10 billion of insurance assets and has $10 billion of assets under management and advisement as of Q4 2024. Simplicity Group is a fast-growing business, focused on organic growth initiatives to help its distribution partners expand their businesses. Simplicity Group has over 1,200 employees and 90 operating subsidiaries. Simplicity Group is owned by two of the leading San Francisco-based financial and tech-enabled services private equity firms and by its operating Partners, who help drive the company’s day-to-day business.\r\n\r\nFor more information, please visit simplicitygroup.com.

Job Description About Daiwa Capital Markets America Inc.: Incorporated in 1964, Daiwa Capital Markets America Inc. (“DCMA”) is a New York-based registered securities broker-dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exchange and other major U.S. exchanges. Our main focus is on the sales and trading of Japanese, Asian, and U.S. equities, fixed income instruments, financial futures, and investment banking for institutional customers. DCMA’s ultimate parent company is Daiwa Securities Group Inc., one of the largest brokerage and financial services groups in Japan. Position Summary: The Trading and Surveillance Compliance Specialist supports the front office sales and trading desks for the fixed income, equity and futures products traded by DCMA. In this role, you will review trading activity real-time and T+1 to monitor activity related to market manipulation and to ensure accurate and timely Trade Reporting; including but not limited to Compliance Engine (TRACE) for Fixed Income products (Treasuries, Mortgage Back Securities, Government Sponsored Enterprise, Corporate bonds, etc.). This role will also collaborate with both the equity and fixed income front office sales & trading, middle office operations and IT on a timely basis to inquire about matters related to daily responsibilities. Core Responsibilities: • Improve on existing trade surveillance operations, • Report surveillance activities on a weekly and quarterly basis for stakeholders, • Monthly FINRA report card review and research, • Best Execution reviews, • TRACE reporting review, • Regulatory Reporting (CAT/CAIS, Bluesheets), • Handle daily trade reporting discrepancies, • Stay abreast of any rule changes while effectively communicating these changes to front/middle office personnel., • Oversight of Treasury Auctions, • Compliance Inspections/Testing, • Primary Dealer Compliance Program, • CME Compliance Program, • Annual Risk Assessment, • Supervisory review of front office sales and trading desks, • Assist in policy and procedure review and update, • Bachelor’s Degree – Finance/Business related, • FINRA Series 7 License for General Representatives, • A minimum of 5 years Compliance/Surveillance experience, • Proficient in the following: Bloomberg, NASDAQ SMARTs Surveillance, TRACE, Microsoft Excel/PowerPoint, Visualization creation. Daiwa Capital Markets America Inc. has a vibrant company culture made up of a diverse team of professionals. We seek to foster an atmosphere in which our employees understand, respect, and inspire each other. We will continue to build a culture that encourages everyone at DCMA to take pride in their work. How we work — individually, with each other, and with our communities — is just as important as what we do and shapes who we are as an organization. Our people are our most important asset, and as a result, we offer a competitive and robust total rewards package which includes, but is not limited to: • Competitive Benefits Package (Medical, Dental and Vision), • Ancillary Insurance (Basic Life Insurance, AD&D Insurance, and Short & Long-term Disability), • Flexible Spending and Health Savings Accounts (FSA and HSA), • Employee Assistance Program (EAP), • Comprehensive health and wellness benefits, • Parental Leave, • Family building benefits, • 401(k) with company match, • Paid Time Off and holidays, • Professional development, educational assistance and training programs DCMA provides equal employment opportunities for all applicants and employees. We are committed to providing a work environment that is free of discrimination and harassment. DCMA prohibits discrimination based on race, color, religion, gender identity, national origin, sexual orientation, age, disability, military or veteran status, or other attributes protected under applicable federal, state, or local laws.

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role: Our finance team at Alpaca is seeking an FP&A Manager to lead financial planning, analysis, and reporting for our fast-growing and innovative API-driven trading brokerage. In this role, you'll manage budgeting, forecasting, and performance insights to drive strategic decisions, collaborating with cross-functional teams in a fast-paced fintech environment. Reporting to the Finance Director, you'll support a range of key processes including financial forecasting and budgeting, monthly/quarterly closes, data analysis and growth modeling, and investor communications. Things You Get To Do: • Forecasting and Budgeting: Maintain complex forecasting models and oversee the quarterly/annual budgeting process, incorporating key metrics from API integrations, trading activities, and various other economic indicators., • Financial Modelling: Build and update financial models to support scenario planning, initiative assessments, cash flow forecasting, and investment evaluations to support a range of forecasting and strategic planning for the company., • Financial Closing: Assist with and ultimately lead the monthly/quarterly financial closing processes, ensuring accuracy and timeliness and delivering key insights to management., • Reporting: Prepare monthly/quarterly reports for internal management updates, team presentations, and external stakeholders including investor communications, quarterly board meetings, marketing or fundraising materials, etc., • Variance Analysis: Perform variance analysis on financials and key business metrics, using internal models and data dashboards to track and analyze performance., • Cross-Functional Collaboration: Collaborate with cross-functional teams on budgeting, resource allocation, and hiring processes., • Ad-Hoc Projects: Handle ad-hoc requests, projects, and special analyses, such as product profitability assessments or risk evaluations. Who You Are (Must-Haves): • Bachelor's degree in Finance, Accounting, Economics, or a related field., • 5–8 years of experience in Finance, FP&A, or Strategic Finance, ideally in fintech, brokerage, payments, or SaaS., • Strong understanding of financial modeling, forecasting, and key SaaS/fintech metrics (ARR, CAC/LTV, gross margin, net revenue retention)., • Prior experience in a growth-stage, venture-backed company or financial services environment preferred., • Proven track record of partnering with cross-functional teams and supporting departmental budget management. Who You Might Be (Nice-to-Haves): • CFA, MBA, or advanced finance certification., • Experience in the fintech sector, particularly with analyzing revenues generated by trading platforms, recurring subscriptions, and brokerage services., • Team leadership or cross-functional project management in tech environments., • Knowledge of statistical/machine learning tools for advanced forecasting., • Previous experience at both large companies and start-ups., • Passion for investing, trading innovations, and financial markets or the desire to learn.How We Take Care of You:, • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role As an Operations Reliability Engineer, you will embed directly within brokerage operations functions to systematically eliminate manual work and replace it with durable, auditable software systems. You start by immersing yourself in operational workflows: observing, documenting, and deeply understanding processes end-to-end before designing solutions. Every recurring manual process is treated as a system defect, and every fix you ship is measured by its real-world impact on efficiency and reliability. You will work closely with licensed brokerage staff, domain experts, and platform engineers to build automations and tooling that allow Alpaca's operations to scale globally without scaling headcount linearly. The ideal candidate is equally comfortable shadowing an operational process and architecting the backend service that replaces it. Things You Get To Do • Design, build, test, deploy, and monitor production automations and UIs that remove manual steps and reduce operation time., • Partner with frontend engineers to productize ops tooling so global teams can run functions with predictable staffing., • Execute operational procedures to surface painful manual processes prior to automation., • Instrument and report baseline and outcome metrics (MTTC, manual-steps removed, queue sizes, ops satisfaction) and iterate based on measured impact., • Produce Platform Opportunity Briefs / RFCs for higher-level platform tooling and automations, • Collaborate with licensed BD leadership, Compliance, and Security to build auditable, safe automations with role-based access and clear runbooks., • Own the full lifecycle of the systems you build, including automated deployment (CI/CD with tools like ArgoCD and Terraform), proactive monitoring, On-call support rotations and incident response, following a "you build it, you run it" philosophy., • Build systems with auditability, traceability, and data lineage as a first-class concern to ensure transparency for our auditors and regulators. Who You Are (must-haves), • 5+ years of professional software engineering experience, with a proven track record of shipping and operating complex, large-scale systems in production., • Strong business sense and understanding of operations, • Deep, hands-on expertise in Golang, including a strong command of its concurrency models (goroutines, channels), memory management, and standard library., • Proven track record of building user-facing features end-to-end with Typescript/React, • Proficient with SQL and relational databases, preferably PostgreSQL., • Demonstrated ability to reason about human workflows as systems, not just software services., • Experience with observability, tracing, continuous profiling, • Exceptional analytical and problem-solving skills, with the ability to deconstruct complex requirements into clear technical components and excellent communication skills for working in a cross-functional environment., • High ownership mindset with bias toward durable, structural fixes over tactical patches.Who You Might Be (nice-to-haves), • Knowledge of service oriented architectures, • Experience with major cloud platforms (we primarily use GCP)., • Financial market (exchange, broker-dealers, clearing, etc.) knowledge, • Experience with Docker and Kubernetes., • A passion for financial markets or the desire to learn, • Knowledge of Agile/Scrum methodologies, • Demonstrable experience in designing, building, and reasoning about distributed systems, including a strong understanding of microservices architecture and API design patterns (e.g., REST, gRPC)., • Experience with capacity planning and benchmarkingHow We Take Care of You:, • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job Description We are seeking an experienced Equity Derivatives Salesperson to join our sell-side broker dealer in New York. The ideal candidate will bring established institutional client relationships and a proven ability to drive revenue growth. This is a unique opportunity to join an entrepreneurial firm where your impact will be visible and your success directly rewarded. Job Responsibilities • Develop and maintain relationships with institutional clients., • Market and sell equity derivative products, providing insights and tailored solutions aligned with client strategies., • Generate new business opportunities through your existing client network and proactive outreach., • Collaborate with trading to deliver high-quality execution and client service., • Stay up-to-date with market trends and volatility dynamics impacting the options markets. Attributes and Skills • Excellent communication and relationship-building skills., • Entrepreneurial mindset- thrives in a lean, fast-moving environment, comfortable wearing multiple hats., • Ability to work collaboratively in a team-oriented environment and establish effective working relationships with colleagues., • Commercial Drive: strong focus on results, revenue generation, and exceeding performance goals., • Integrity & Trustworthiness: essential for long-term success with institutional clients., • Commitment to excellence: perform duties at the highest level possible on a consistent basis., • Bachelor's degree in finance, business, or a related field., • 2+ years of experience in an equity derivates sales role., • Proven experience in equity derivatives/options sales at a bank, broker dealer, or other financial institution., • Strong understanding of equity options and related derivative products., • Established client network, with active relationships across institutional clients., • Demonstrated track record of generating revenue and driving client business., • Health Care Plan (Medical, Dental & Vision), • Retirement Plan (401k), • Paid Time Off (Vacation, Sick & Public Holidays), • Family Leave (Maternity, Paternity), • Short Term & Long Term Disability, • Life Insurance (Basic, Voluntary & AD&D) This description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice. The compensation for this role is commissions only. The compensation package that is offered to any candidate, in any location, will be determined on several factors, which may include but are not limited to location, work experience, skills, knowledge, education, and/or regulatory licenses. Odeon Capital Group is an Equal Opportunity Employer. We are committed to creating a work environment that supports, inspires, and respects all individuals and in which employment processes are merit-based and applied without discrimination. Odeon does not discriminate on the basis of race, color, religion, sex (including pregnancy and gender identity), national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service, or any other protected characteristic or other non-merit factor.

Job DescriptionAVP, Software Development Engineer in Test OTC Markets Group - New York, NY - Full Time OTC Markets Group Inc., operator of premier US financial marketplaces, is seeking an SDET to join our Technology team. As an SDET, you will be part of an agile team responsible for analyzing product functionality, designing test strategies, and executing test scenarios both manually and through automated test frameworks built with C#, TypeScript, and JavaScript. We value curious, persistent, and technically driven people who take ownership of quality and enjoy building industry-standard solutions. If this sounds like you, we’d love to talk to you. We invest heavily in employee satisfaction and offer all our employees a highly competitive compensation package. As a dynamic, growing company that fosters an open culture, we emphasize autonomy, responsibility, innovation, and self-discipline. We are looking for someone who wants to make an impressive impact at a company known for its reputation on quality and achievement. Base compensation for this role is up to $155,000 annually, depending on experience. In addition, the position is eligible for our discretionary annual bonus program and equity. What You’ll Do: • Requirements analysis and cross-functional collaboration with development teams to define test cases and acceptance criteria, • Creation and maintenance of test cases across functional, API, and UI testing levels, • Design, build, and maintain scalable test automation frameworks and scripts for functional, API, and UI testing; continuously improve test coverage, stability, and reliability, • Bug lifecycle management, including defect tracking and reporting for both manual and automated test execution, • Participate in code reviews to ensure test quality and adherence to best practices, • Contribute to the continuous improvement of the product test strategy, • Champion shift-left testing practices by engaging early in the development lifecycle, • Support CI/CD pipeline integration for automated test execution, • Additional responsibilities, as assigned.What We’re Looking For:, • 5+ years of experience in QA and test automation, and/or a Bachelor's degree in Computer Science, • Strong understanding of QA processes, methodologies, and the software development lifecycle (SDLC), with the ability to apply them in daily operations, • Experience producing key test assets: test plans, test cases, test reports, and test coverage metrics, • Experience with software testing types: Functional, Integration, Regression, Smoke, End-to-End, Data-Driven, and User Acceptance Testing, • Proficiency in at least one programming language, preferably C#, • Familiarity with CI/CD pipelines and source control systems such as GitHub and Azure DevOps Git, • Basic understanding of networking protocols (TCP/IP, HTTP/HTTPS, REST), • SQL Server experience, • T-SQL, DDL & DML, • Stored procedures, indexes, views, • Familiarity with web front-end technologies:, • HTML, CSS, JavaScript, • Client-side vs. server-side processing, • Clear understanding of the following tech/tools:, • Automation Languages: C#, TypeScript, JavaScript, • Automation Frameworks: Selenium WebDriver, Playwright, ATATA, NUNIT, • API Testing: Postman, REST Assured, • Backend: .NET Core, .NET Framework, ASP.NET, • Database: MS SQL Server, • Backlog Management & Collaboration: Azure DevOps, Jira, • Code Repository: GitHub, Azure DevOps Git, • CI/CD: GitHub Actions, Azure DevOps Pipelines What OTC Markets Offers its Team Members (Why You Should Choose Us): Benefits: • Generous Paid Time Off (PTO), • Health, Dental, and Vision Coverage, • Health Savings Account (HSA), • Flexible Spending Accounts (FSA) Dependent & Healthcare, • Limited Purpose Flexible Spending Account (LPFSA), • Generous Paid Parental Leave Program, • Annual bonus and Stock Incentive Program, • 401(K) Plan - Retirement, • Commuter Transit & Parking Program, • Income Protection (Life Insurance, Short- & Long-Term Disability), • Voluntary Benefits (Accident, Critical Illness, & Hospital Indemnity)Perks:, • Hybrid Work Schedule, • Class Pass Partnership (Fitness & Wellness Programs), • Citi Bike Membership Program, • Mondays – Breakfast Bagels & Wednesdays – Pizza Lunch, • Office Snacks and Beverages OTC Markets Group Inc. (OTCQX: OTCM) operates regulated markets for trading 12,000 U.S. and international securities. Our data-driven disclosure standards form the foundation of our public markets: OTCQX® Best Market, OTCQB® Venture Market, OTCID™ Basic Market and Pink Limited™ Market. Our OTC Link® Alternative Trading Systems (ATSs) provide critical market infrastructure that broker-dealers rely on to facilitate trading. Our innovative model offers companies more efficient access to the U.S. financial markets. OTC Link ATS, OTC Link ECN, OTC Link NQB, and MOON ATS™ are each SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. To learn more about how we create better informed and more efficient markets, visit . We are an equal opportunity and E-Verify employer and prohibit discrimination and harassment of any kind. All employment decisions are based on business needs, job requirements, and individual qualifications, without regard to race, creed, color, religion, gender, national origin, age, marital status, political belief, physical or mental disability, sexual orientation, military or veteran status, genetic information, family or parental status, gender identity, pregnancy, including childbirth or related medical condition, or any other characteristic protected by federal, state, or local law. We encourage applicants of all ages and backgrounds. Applicants have rights under Federal Law: Equal Employment Opportunity is the Law Polygraph Protection Act FMLA Powered by JazzHR XsEH523fZO

Job Description Position Title: Financial Commission Analyst Reports to: Commissions Manager Department: Finance/Commissions Location: Summit NJ; in-office position Classification: Full-time Summary / Job Objective: This position is responsible for commission, production processing and reporting. As a part of our Finance and Commissions team, you will have the responsibility of working through many processes and using your skills to drive the business to end results. This is an amazing opportunity to join a fast-growing private company and learn our business while taking the next step of your career. In this role, you will be working closely with Finance, Operations and Sales Team. Primary Responsibilities: · Process monthly and weekly commissions: this process includes accounts reconciliation, running reports, populating worksheets, performing calculations, obtaining approvals and preparing files for payments · Summarize and communicate commission data to multiple team members · Calculate and audit commissions payments to sales personnel based on commission plan provisions · Maintain an accurate trackable record of commissions and supporting data · Review, upload and enter commission data into Sales Force (the CRM system) · Research, document and communicate resolutions to external and internal business partners for all inquiries regarding the commission and payment process · Audit of commission statements to ensure the organization is receiving correct payments · Trouble shooting commission issues and resolve through investigation · Perform other duties as assigned · Maintain strict confidentiality in all aspects of the job Qualifications: · Bachelor’s Degree preferred (Finance, economics, business, mathematics or similar) · 4+ years of experience in commissions or accounting/finance field · Strong math skills/ analytical thinking skills · Detail orientated and comfortable working with large data sets · Strong computer skills – Excel (formulas, pivot tables) · Salesforce.com experience a plus, but not required · Willing to take ownership of the position · Ability to understand the time standards and order of work flow to complete the prime responsibilities Core Competencies: · Possess strong people and problem-solving skills and be able to effectively communicate at all levels of the organization · Able to work successfully in a team environment as well as independently · Ability to handle change and be effective in a fast-paced environment · Strong time management skills with ability to prioritize tasks and meet deadlines · Great written and verbal communication skills · Excellent organizational skills Compensation & Benefits: Compensation (based on experience) • Base salary: $50K-$65K based on experience, • This is an exempt position, • Employee benefits (medical, dental, vision, life insurance, other), • 401k with employer match, • Paid Time Off Through its vast distribution network of insurance, wealth, and institutional channels, Simplicity Group has assisted with the placement of more than $10 billion of insurance assets and has $10 billion of assets under management and advisement as of Q4 2024. Simplicity Group is a fast-growing business, focused on organic growth initiatives to help its distribution partners expand their businesses. Simplicity Group has over 1,200 employees and 90 operating subsidiaries. Simplicity Group is owned by two of the leading San Francisco-based financial and tech-enabled services private equity firms and by its operating Partners, who help drive the company’s day-to-day business. For more information, please visit simplicitygroup.com.Headquartered in Summit, New Jersey, Simplicity Financial Marketing Group Holdings (“Simplicity Group”) is a financial holding company in the independent financial services sector that specializes in the distribution of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker-Dealer, partners with insurance and investment professionals to help provide consumers with guaranteed income and life insurance products, wealth accumulation strategies, disability, and long-term care protection in support of a holistic financial strategy.\r\n\r\nThrough its vast distribution network of insurance, wealth, and institutional channels, Simplicity Group has assisted with the placement of more than $10 billion of insurance assets and has $10 billion of assets under management and advisement as of Q4 2024. Simplicity Group is a fast-growing business, focused on organic growth initiatives to help its distribution partners expand their businesses. Simplicity Group has over 1,200 employees and 90 operating subsidiaries. Simplicity Group is owned by two of the leading San Francisco-based financial and tech-enabled services private equity firms and by its operating Partners, who help drive the company’s day-to-day business.\r\n\r\nFor more information, please visit simplicitygroup.com.

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer, With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Our Investment Banking Team is committed to providing in-depth industry knowledge and delivering creative, market-based strategies to clients in all major industries, with a specific focus on Consumer and Retail, Energy, Financial Institutions, Healthcare, Industrial Growth and Services, Rental Services, Technology, Media and Communications as well as Transportation and Logistics. Our range of services include Equity Capital Markets, Debt Capital Markets, Mergers and Acquisitions as well as Debt Advisory & Restructuring. This combination of industry and product groups enables the firm to deliver advice, strategies and capital with a universal banking approach to our targeted client – high growth, entrepreneurial, middle market companies. Since 2019, Oppenheimer’s ECM team has executed over 200 Active Book run or Lead Placement Agent transactions for its corporate clients. Position available for immediate hire. Job Description Our Equity Capital Markets team is actively looking for a Director / VP for our New York office. The candidate will be working closely with senior members of our active Industry Groups to originate and execute equity and equity-linked transactions. This role will primarily focus on the Technology, Consumer, FIG and Industrials sectors. Responsibilities: • Origination and execution of transactions including Initial Public Offerings, Follow-on Public Offerings, CMPOs, RDs, PIPEs, SPACs and Private Placements, • Expand and develop client relationships with key institutional investors including mutual funds, hedge funds and family offices, • Liaise with both internal and external parties (including corporate issuers, financial sponsors, legal counsel, among others) to expand corporate relationships and drive day-to-day deal process, • Develop an in-depth understanding of our sectors, • Lead pitch drafting as well as transaction marketing documents, • Analyze and present deal data for senior level management teams and corporate issuers, • Support new business and marketing initiatives as appropriate, • Demonstrate a commitment to the group’s success on new opportunities, mandates and overall growth, • Must have 3-5 years of experience in ECM, primarily execution, • SPAC experience preferred, • Sales driven mentality with a strong capital markets acumen, • Strong verbal and written communication skills, • Elevated attention to detail and consistency in work product, • Strong work ethic and team player, • Dealogic, Ipreo, CapIQ, PlacementTracker, Bloomberg, MS Office suite knowledge strongly preferred For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $170,000.00 - $200,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. About the Role: We are seeking an Analytics Engineer to own and execute the vision for our data transformation layer. You will be at the heart of our data platform, which processes hundreds of millions of events daily from a wide array of sources, including transactional databases, API logs, CRMs, payment systems, and marketing platforms. You will join our 100% remote team and work closely with Data Engineers (who manage data ingestion) and Data Scientists and Business Users (who consume your data models). Your primary responsibility will be to use dbt and Trino on our GCP-based, open-source data infrastructure to build robust, scalable data models. These models are critical for stakeholders across the company—from finance and operations to the executive team—and are delivered via BI tools, reports, and reverse ETL systems. What You'll Do: • Own the Transformation Layer: Design, build, and maintain scalable data models using dbt and SQL to support diverse business needs, from monthly financial reporting to near-real-time operational metrics., • Set Technical Standards: Establish and enforce best practices for data modelling, development, testing, and monitoring to ensure data quality, integrity (up to cent-level precision), and discoverability., • Enable Stakeholders: Collaborate directly with finance, operations, customer success, and marketing teams to understand their requirements and deliver reliable data products., • Integrate and Deliver: Create repeatable patterns for integrating our data models with BI tools and reverse ETL processes, enabling consistent metric reporting across the business., • 4+ years of experience in analytics engineering or data engineering with a strong focus on the "T" (transformation) in ELT., • Proven track record of owning data products end-to-end, applying analytics and data engineering best practices to ensure data quality, scalability, and robust data models., • Comfortable working with ambiguity and collaborating with stakeholders to define requirements; able to take ownership with minimal oversight in a fast-paced environment., • Experience proactively identifying and implementing improvements to data warehouse performance and ETL efficiency., • Technical Versatility:, • Expert-level SQL and DBT skills for complex queries and data transformations., • Proficiency in Python for transformations that extend beyond SQL., • Hands-on experience with query optimization across OLTP and OLAP systems (e.g., Postgres, Iceberg)., • Proficiency with Semantic Layer modelling (e.g. Cube, dbt Semantic Layer)., • Experience owning CI/CD workflows and establishing team-wide standards for version control and code review (e.g., Git)., • Experience with data ingestion tools (e.g., Airbyte) and orchestration tools (e.g., Airflow)., • Domain experience for brokerage operations or a passion for financial markets and modelling financial datasets.How We Take Care of You:, • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job Description About the Job: Hold Brother's Capital is a self-clearing broker-dealer with a specialization in proprietary trading in US equities markets, headquartered in New York City. We are seeking a highly motivated and Business Development Lead to join our dynamic team. As a key member of our organization, you will play a crucial role in driving sales growth and contributing to the achievement of our business goals. Responsibilities: • Work closely with senior management to align with the company's business goals and objectives., • Oversee the end-to-end sales process, including lead generation, prospecting, and negotiating final deals., • Continuously identify areas for improvement and provide valuable recommendations for change., • Cultivate and nurture relationships with external lead sources, such as industry professionals and organizations., • Demonstrate comprehensive knowledge of trading practices, market trends, and trading systems to effectively address client needs., • Demonstrate a proven track record of consistently achieving sales goals., • Exhibit exceptional interpersonal skills with the ability to build and maintain relationships with clients and lead sources., • Display excellent communication skills, both written and verbal., • Maintain a detail-oriented, professional, and polished demeanor., • Possess a solid understanding of the company's organizational structure., • Have or be willing to obtain the Series 7 license. Benefits • Health Care Plan (Medical, Dental & Vision), • Retirement Plan (401k, IRA), • Paid Time Off (Vacation, Sick & Public Holidays), • Family Leave (Maternity, Paternity), • Work From Home, • Base Salary Range: $55,000 - $80,000, • Performance-based commission structure

Job Description This is a remote position. About the Opportunity White Tiger Connections works with leading Registered Investment Advisors (RIAs) and broker-dealers that are expanding their service offerings into comprehensive estate planning and tax compliance. We are supporting multiple firms across our client network—ranging from approximately $500M to $10B in assets under management—that are seeking to establish or scale an in-house estate planning function. This is a founding-level opportunity designed for a highly experienced estate planning professional who is ready to build, lead, and own a core advisory vertical within a growing financial services platform. The role includes a conservative base salary, an aggressive performance-based bonus structure, and meaningful equity participation. About the Role As the Founding Estate Planning Partner, you will work closely with firm leadership to design and lead estate planning and tax-compliance services integrated into the firm’s broader wealth management offering. You will serve as the subject-matter expert, relationship lead, and long-term owner of this practice area. This role is ideal for a senior estate planning professional seeking true partnership, autonomy, and long-term upside within an established financial organization. Key Responsibilities * Lead the development and execution of estate planning and tax-compliance services within an RIA or broker-dealer platform * Advise high-net-worth and ultra-high-net-worth clients on complex estate planning strategies * Collaborate with wealth advisors, tax professionals, and firm leadership to deliver integrated client solution * Establish best practices, workflows, and compliance standards for estate planning services * Serve as the senior client-facing authority for estate planning engagements * Recruit, mentor, and manage additional estate planning or tax professionals as the practice scales * Drive growth and adoption of estate planning services across the firm’s existing client base Requirements * Juris Doctor (JD) required * Minimum of 12 years of experience in estate planning, trust and estate law, and related tax matters * Extensive experience advising high-net-worth clients * Strong leadership presence with the ability to build and lead a practice area * Entrepreneurial mindset and readiness to operate as a founding partner * High degree of professionalism, discretion, and client trust * Preferred Credentials: CFP, Series licenses, MBA, CPA, and other relevant professional certifications Benefits Compensation & Partnership Structure The role includes a conservative base salary, a highly performance-driven bonus structure, and meaningful equity participation tied to the growth, adoption, and long-term success of the estate planning practice within the broader platform. Next Steps If you are interested in building and leading an estate planning practice within a high-growth financial services platform, please apply and submit your resume.

Job Description Location: NY, Chicago, or London About Us: Founded 19 years ago and headquartered in Chicago, the DV Group of financial services firms has grown to more than 450 people operating throughout the world. Since spinning out of a large brokerage firm in 2016, DV Trading rapidly scaled as an independent proprietary trading firm utilizing its own capital, trading strategies, and risk management methodologies to provide liquidity and hedging opportunities to financial participants, commodity producers and counterparties worldwide. DV Group affiliates also include two broker dealers, an introducing broker in commodities, a cryptocurrency market making firm, and several investment advisory firms. Overview: We are seeking a senior Vice President / Director – Futures Sales & Trading to support the growth of our Eurex-focused futures business, while maintaining coverage across global futures and derivatives markets. This role is suited for a commercially driven professional with deep client relationships who can originate flow, expand wallet share, and deliver meaningful revenue impact. You will work closely with trading, risk, and leadership teams to grow existing Eurex activity, onboard new clients, and develop strategic partnerships across asset managers, hedge funds, and dealer communities. Responsibilities: • Drive revenue growth with a primary focus on Eurex-listed products, including rates and equity index futures, • Leverage existing relationships to onboard and grow:, • Asset Managers, • Hedge Funds, • Dealers and proprietary trading firms, • Originate new flow and expand wallet share across Eurex and other global futures venues, • Partner with trading teams on execution, spreads, basis, rolls, CTDs, and EFPs, • Act as a trusted market partner, providing insight on positioning, liquidity, and market structure, • Represent the firm in client meetings, conferences, and industry forums, • 8–15+ years of experience in futures sales, execution sales, or trading-adjacent roles, • Prior experience covering Eurex products at an FCM, bank, proprietary trading firm, or futures brokerage, • Established, portable relationships with asset managers, hedge funds, and/or dealers, • Proven ability to originate flow and generate revenue, • Strong understanding of:, • Eurex market structure and clearing, • Futures and options, spreads, basis, rolls, CTDs, and EFPs, • Margining, capital efficiency, and client trading workflows, • Experience operating at a VP / Director or equivalent senior level, • Experience covering rates and fixed income futures a plus, • Familiarity with CME, ICE, or other global exchanges alongside Eurex a plus, • International or cross-regional client coverage experience a plus Benefits: • Discretionary bonus eligibility, • Medical, dental, and vision insurance, • HSA, FSA, and Dependent Care options, • Employer Paid Group Term Life and AD&D Insurance, • Voluntary LTD, Life & AD&D insurance, • Flexible vacation policy, • Retirement plan with employer match, • Paid parental leave, • Wellness Programs Annual compensation range: Base salary:- $100K - $250K + Industry leading discretionary bonus based on candidate experience and performance DV is not accepting unsolicited resumes from search firms. Only search firms with valid, written agreements with DV should submit resumes in response to DV's posted positions. All resumes submitted by search firms to DV via e-mail, the Internet, personal delivery, facsimile, or any other method without a valid written agreement shall be deemed the sole property of DV, and no fee will be paid in the event the candidate is hired by DV. DV is proud to be an equal opportunity employer and committed to creating an inclusive environment for all employees.

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role: The Director of Compliance reports to the Chief Compliance Officer and supports all aspects of the Firm's compliance program. This role works closely across business lines and functions to ensure alignment and effective execution of compliance initiatives. The ideal candidate is proactive, highly organized, and able to manage multiple solutions and maintain strong stakeholder relationships. Things You Get To Do: • Apply practical knowledge of FINRA rules and regulations to ensure compliance oversight across the firm., • Partner with business units to understand workflows, monitor controls, and implement compliance process improvements., • Draft, update, and maintain compliance policies and supervisory procedures., • Review advertising, marketing, and electronic communications for regulatory compliance., • Support regulatory examinations, inquiries, and requests, including gathering data, preparing documentation, and coordinating responses., • Assist in the preparation and submission of required regulatory filings and reports., • Assist with branch inspections and supervisory reviews, track findings, and follow up with business leads., • Assist in the preparation and submission of required regulatory filings and reports., • Experience with new product launches and ongoing product governance. Who You Are (Must-Haves): • At least 10 years of experience managing compliance matters within FINRA, SEC, and OCC jurisdictions, preferably in a broker-dealer and clearing firm environment., • Deep knowledge of U.S. securities regulations, including FINRA/SEC rules, and registration/licensing obligations., • Strong written communication skills for drafting regulatory documentation and policies., • Proven ability to work independently and produce actionable compliance work, not just advisory guidance., • Ability to operate effectively in a fast-paced, global environment with evolving regulatory requirements., • Proficiency in using compliance software and tools., • High ethical standards and a commitment to maintaining confidentiality., • Bachelor's degree in Finance, Business, Law, or a related field., • Required FINRA licenses: Series 7, 24; additional licenses and designations are a plus.How We Take Care of You:, • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full-service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Our Investment Banking Team is committed to providing in-depth industry knowledge and delivering innovative, market-based strategies to clients in all major industries, with a specific focus on Technology, Media and Communications, Consumer and Retail, Financial Institutions, Healthcare, Industrial Growth and Services, Energy, Rental Services as well as Transportation and Logistics. Oppenheimer advises clients across strategic and financial matters, including capital raising, capital structure, mergers and acquisitions, restructuring and special situation advisory, in partnership with our product partners. This combination of industry and product groups enables the firm to deliver advice, strategies and capital with a universal banking approach to our targeted client – high growth, entrepreneurial, middle market companies. Job Description Our Financial Institutions team is actively looking for an experienced Analyst for our New York office. The candidate will be working closely with senior members of the Financial Institutions Group with opportunities to gain exposure to both sell side and buy side advisory as well as underwriting and placing equity and debt offerings for public and privately held companies. Responsibilities: • Preparing client presentations, drafting offering memoranda, preparing internal committee memoranda, preparing management and board presentations and other materials for senior bankers as required, • Transaction execution involving direct client interaction and communication, • Managing client due diligence processes, • Conducting extensive financial modeling and valuation, • At least 2 years of experience in investment banking, primarily Financial Institutions related, • Strong Microsoft Excel skills essential, • Strong verbal and written communication skills, • Elevated attention to detail and consistency in work product, • Strong work ethic and team player, • Organized and proactive, • Dealogic, CapIQ, Bloomberg and MS Office suite knowledge strongly preferred For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $100,000.00 - $110,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Job Description QCP is Asia's leading digital asset partner, empowering clients to seamlessly integrate digital assets into their portfolios. We offer a comprehensive range of solutions - from spot on/off ramping and fixed income strategies to vanilla options and bespoke exotics. Driven by the vision to be the most trusted partner in digital asset markets, we provide innovative solutions that make digital assets a core component of every portfolio, balance sheet, and treasury. Since our founding in 2017, we have witnessed the potential of digital assets to transform financial markets and the world at large. We exist at the centre of change, successfully navigating three market cycles and bridging institutional and crypto ecosystems. We work to build trusted partnerships, putting client success and care at the heart of everything that we do. The Head of Compliance will be responsible for designing, implementing, and overseeing the full compliance program of QCP’s US’s entity which will act primarily as a distributor for QCP’s products. The Head of Compliance will serve as a General Securities Principal and will be a key member of the U.S. management team, with direct responsibility for regulatory compliance, supervisory systems, and regulatory engagement with FINRA / SEC / CFTC / NFA. Responsibilities Regulatory & Supervisory Oversight • Act as the designated Head of Compliance and FINRA Principal of the U.S. broker-dealer., • Develop, implement, and maintain: Written Supervisory Procedures (WSPs), Compliance Manual Code of Ethics, Conflicts of Interest policies, • Ensure compliance with:, • Securities Exchange Act of 1934; FINRA rules and guidance; Applicable state securities laws, • Review and approve: offering memoranda and risk disclosures; Marketing and investor communications, • Serve as the designated AML Compliance Officer., • Licensing (Required or Immediately Obtainable), • FINRA Series 7 – General Securities Representative, • FINRA Series 24 – General Securities Principal, • Licensing (Strongly Preferred), • Series 66 – Uniform Combined State Law Exam, • Minimum 8–12 years of compliance or regulatory experience at: Broker-dealers, Investment banks or Structured products firms, • Demonstrated experience in drafting and maintaining WSPs, managing FINRA examinations, supporting or leading New Member Applications or material business expansions The Environment We Offer As a growing firm with a tightly-knit team, we respect and listen to all our employees. You will get the chance to make an impact by having your voice heard by everyone, including the management. Our employees enjoy a high level of autonomy at work. We focus on substance, not form - as long as you can perform, you will be recognized and rewarded. We are also dedicated to supporting our staff and ensuring they develop holistically to maximize their potential in the long- term. We also provide flexible working arrangement as required and a casual and fun environment to boot!

Job Description As VP of Finance and Accounting, you’ll be the firm’s senior finance leader — but also its core executor. This is a roll-up-your-sleeves role, ideal for someone who is comfortable both building strategy and completing the day-to-day accounting, reporting, and compliance tasks themselves. The VP of Finance and Accounting is also responsible for managing the financial activities of the company, adhering to generally accepted accounting principles (GAAP) and the rules established by the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”) and other regulatory entities. You will work directly with the CEO and be deeply involved in financial decision-making. Responsibilities • Own and execute all accounting and finance operations — from data entry to month-end close to management-level reporting., • Handle general ledger accounting, journal entries, account reconciliations, and accruals., • Develop and manage the budget and forecasts; track performance against plan and provide actionable insights., • Lead and perform cash management activities, including daily cash tracking, funding settlements, managing reserve requirements, and optimizing liquidity across accounts., • Monitor capital adequacy, liquidity, and cash flow to ensure compliance with internal policies and regulatory thresholds., • Identify and establish policies and procedures to manage Company risk, including trading, counterparty, and other fraud risks., • Prepare all regulatory reports for submission: FOCUS reports, Net Capital computations, Customer Reserve calculations, and other FINRA/SEC/SIPC filings., • Design, document, and improve financial processes, internal controls, and policies in a way that is scalable but practical., • Monitor counterparty, ACH, positional, and other risks associated with the Company’s various product lines., • Partner with compliance, human resources, legal and technology to develop and identify operational efficiencies, systems, controls, and procedures for improvement., • Partner with the Director of Trade Operations and Risk in establishing, executing, and maintaining the Risk Framework and policies across all products, including new activity assessments, operational risk/loss events, scenario analysis, risk and control self-assessments (RCSA), and emerging risk identification., • Develop and maintain operational risk metrics and reporting, including capital usage, cost of carry, position movements, and inventory positions., • Manage relationships with external auditors, regulators, banks, and tax advisors., • Build and maintain accounting and reporting tools, including QuickBooks, and Excel models, • Own and coordinate audits and tax filings, working closely with external auditors, tax advisors, and compliance vendors., • Self-starter who can operate autonomously, prioritize effectively, and own the function end-to-end., • Ability to thrive in a small team, wearing multiple hats, and switching between strategic and tactical work., • Detail-oriented, strategic thinker with analytical problem-solving capabilities., • Excellent judgment, conflict resolution skills and interpersonal skills., • Demonstrated ability to execute quickly, work under pressure and handle time sensitive items., • Trustworthy and ability to maintain confidentiality., • Exceptional verbal, written, and visual communication skills., • Ability to juggle many different projects and priorities simultaneously., • Comfortable with ambiguity, adapts to change and navigates organizations with confidence., • Master’s degree in accounting, business accounting, or finance., • Certified Public Accountant license., • FINRA licenses: Series 99, • Demonstrated understanding and experience in corporate finance, advanced accounting, and regulatory issues., • Experience working at a broker-dealer preferred., • FINOP experience preferred., • Hands-on experience with FINRA/SEC regulatory reporting, including preparation of FOCUS reports and Net Capital compliance., • Direct experience managing cash operations in a regulated environment., • Health Care Plan (Medical, Dental & Vision), • Retirement Plan (401k), • Paid Time Off (Vacation, Sick & Public Holidays), • Family Leave (Maternity, Paternity), • Short Term & Long Term Disability, • Life Insurance (Basic, Voluntary & AD&D) This description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice. Odeon Capital Group provides a total compensation package which may include a base salary, discretionary performance bonus, and/or a comprehensive benefits package. The estimated base salary range for this position, at the time of posting, is $200,000 to $250,000, which is specific to New York and may change in the future. When finalizing an offer, we take into consideration an individual’s experience level and the qualifications they bring to the role to formulate a competitive total compensation package. Candidates hired to work in other locations will be subject to the pay range associated with that location. The final base salary amount that is offered to any candidate, in any location, will be determined on several factors, which may include but are not limited to location, work experience, skills, knowledge, education, and/or regulatory licenses. Odeon Capital Group is an Equal Opportunity Employer. We are committed to creating a work environment that supports, inspires, and respects all individuals and in which employment processes are merit-based and applied without discrimination. Odeon does not discriminate on the basis of race, color, religion, sex (including pregnancy and gender identity), national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service, or any other protected characteristic or other non-merit factor.