Head of Broker Dealer Operations
About the Company
Wealth management firm and broker-dealer in Brickell
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Head of Broker Dealer Operations to provide strategic and operational leadership in the management of all broker-dealer activities. The successful candidate will be responsible for driving operational excellence, automation, and controls, as well as overseeing the end-to-end lifecycle of client accounts, transactions, and asset movements. This role involves the development and enhancement of operational policies, procedures, and controls to support business objectives, as well as the establishment of scalable operational frameworks. The Head of Broker Dealer Operations will also be the primary point of contact for external service providers and will ensure that vendor performance meets business and regulatory requirements. Applicants must have a Bachelor's degree in a relevant field, a minimum of 5 years' experience in broker-dealer operations, and a strong understanding of securities operations, fixed income products, and trade lifecycle processes. Experience in a FINRA-regulated environment, knowledge of operational controls, regulatory recordkeeping, and risk management practices are essential. The role requires a proven ability to manage multiple priorities in a fast-paced, regulated setting, and strong analytical, problem-solving, and communication skills. Bilingual English and Spanish language skills and FINRA licenses are advantageous. The ideal candidate will have a background in operational risk and controls management, regulatory examination and audit support, and experience in business process improvement and automation initiatives.
Functions
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