Top Tech Jobs & Startup Jobs

Lead and manage a team handling licensing, appointments, and registrations for advisors and firms. Ensure timely submissions (U4, U5, BD, BR), regulatory compliance with FINRA/SEC/state rules, develop workflows, audit records, collaborate with legal/compliance, report metrics, and deliver training on registration requirements.

Support sponsor billing by preparing routine invoices, applying cash receipts, tracking receivables, handling sponsor inquiries, performing reconciliations and journal entries, reviewing aged receivables, and supporting ad hoc billing and process-improvement projects.

Lead enterprise data architecture for cloud-native data platforms: define strategy, roadmaps, and standards; design lakehouse and multi-region architectures; drive data governance, metadata, lineage, security, and observability; mentor teams and partner with product, engineering, and security to deliver scalable, trusted data products and platforms.

Provide reporting, data analysis, project and training support for the Networking team. Track project status, translate business needs into technical requirements, support UAT, automate processes, maintain procedures and controls, handle escalations, and contribute to firm-level M&A and process improvements.

Work as a corporate actions operations analyst handling corporate action monitoring, allocations, exception processing, reconciliations, restricted stock research, and stock option exercises. Communicate with advisors and third parties, support DRIP program compliance, improve/process automation, participate in UAT and projects, and maintain quality control and training materials.

Lead a data distribution and sharing platform team by owning technical vision, architecture, SLAs, and end-to-end delivery. Build and optimize ETL pipelines, data models, and integrations using Snowflake, DBT, AWS, Informatica, and SQL Server. Manage and mentor onshore/offshore engineers and QA, drive release planning, change management, and adoption of AI-enabled development practices.

Lead product strategy and execution for enterprise electronic communications capture, archival, supervision, analytics, and AI-driven risk detection. Define roadmaps, prioritize backlog by risk and value, partner with stakeholders across Compliance, Cybersecurity, Technology and Data, and drive delivery through Agile teams to reduce off-channel communication and CARS risk.

Lead design, development, and support of cloud-native party reference data services, APIs, and pipelines. Integrate third-party data, implement MDM processes (matching, survivorship, lineage, quality), modernize legacy platforms, mentor engineers, and collaborate with stakeholders, governance, and architecture teams to deliver scalable, secure reference data capabilities.

Lead and execute growth programs for advisor affiliation models, managing end-to-end program delivery, governance, events, sales enablement, and cross-functional initiatives. Perform quantitative and qualitative analyses, collect client feedback, and provide insights to drive advisor practice growth and measurable business outcomes.

Own day-to-day readiness, testing, and audit facilitation for SOX, SOC 1/2, CCPA/CPRA, and NYDFS compliance. Coordinate auditors and control owners, perform first-line ITGC testing, maintain control narratives and RCMs, drive remediation, and implement automation and continuous controls monitoring using GRC platforms and scripting/data tools.