Job Description
- Lead broker-dealer operations and infrastructure
- Drive controls, automation, and operational excellence
About Our Client
Wealth management firm and brojker-dealer located in Brickell.
Job Description
Operational Leadership
- Oversee all aspects of broker-dealer operations, ensuring the accurate and timely execution of operational activities.
- Manage the end-to-end lifecycle of client accounts, transactions, asset movements, and account maintenance processes.
- Develop and enhance operational policies, procedures, and controls to support business objectives.
- Establish scalable operational frameworks to accommodate growth and evolving business needs.
Vendor & Relationship Management
- Serve as the primary point of contact for external service providers, custodians, clearing firms, and banking partners.
- Monitor vendor performance and ensure service levels meet business and regulatory requirements.
- Coordinate operational initiatives and issue resolution with external stakeholders.
Risk, Controls & Regulatory Support
- Maintain a strong control environment designed to mitigate operational risk.
- Ensure adherence to applicable regulatory requirements and internal policies.
- Support regulatory examinations, audits, testing activities, and information requests.
- Oversee recordkeeping practices and operational documentation to ensure compliance standards are met.
- Identify operational vulnerabilities and implement corrective actions where necessary.
Process Improvement & Reporting
- Lead initiatives focused on process optimization, automation, and operational efficiency.
- Develop key operational metrics and reporting for management review.
- Analyse workflows and identify opportunities to improve service delivery and reduce operational risk.
- Support system enhancements and ongoing operational projects.
Cross-Functional Collaboration
- Partner closely with Compliance, Finance, Technology, and business development teams.
- Support account onboarding activities and ensure a seamless client experience.
- Provide operational expertise on strategic initiatives and business growth opportunities.
- Act as a resource and mentor for operations team members as the function expands.
The Successful Applicant
Requirements
- Bachelor's degree in Business, Finance, Accounting, or a related field.
- Minimum of 5 years of experience within broker-dealer operations.
- Strong understanding of securities operations, fixed income products, and trade lifecycle processes.
- Experience working within a FINRA-regulated environment.
- Knowledge of operational controls, regulatory recordkeeping, and risk management practices.
- Proven ability to manage multiple priorities in a fast-paced and highly regulated setting.
- Strong analytical, problem-solving, and communication skills.
- Experience working with clearing firms, custodians, and external service providers.
- Bilingual English and Spanish language skills are advantageous.
- FINRA licences including SIE, Series 7, Series 99, and Series 24, or the ability to obtain required registrations.
Preferred Background
- Broker-dealer operations leadership
- Wealth management or private banking environments
- Operational risk and controls management
- Regulatory examination and audit support
- Business process improvement and automation initiatives
- Vendor and third-party relationship management
What’s on Offer
- Competitive salary ranging from $180,000 to $250,000.
Contact
Lauren VanManen
Quote job ref
JN-092026-7115818
Job Tags
Full time