Broker-Dealer Operations Manager | Compliance & Trading
Listed on 2026-10-11
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Finance & Banking
Regulatory Compliance Specialist
Capital One (through its subsidiary) is seeking a Manager of Broker-Dealer Operations in New York City. This hybrid role drives the execution and compliance of daily trading activities and defines the control environment for our trading function.
You will document auditable processes, strengthen risk judgment, and partner with Compliance, Legal, Product, Engineering, Treasury, and external banking partners to support scalable workflows and regulatory readiness.
The following opportunity is for a Broker-Dealer Operations Manager | Compliance & Trading with Brex.
We are seeking a motivated Broker-Dealer Operations Manager | Compliance & Trading to join Brex in New York, NY, United States.
Consider building your career as a Broker-Dealer Operations Manager | Compliance & Trading at Brex.
The Broker-Dealer Operations Manager | Compliance & Trading position in the Management & Operations, IT & Technology field is open for applications.
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