Operations Manager – Suitability

Jobtailor; Deutschland; Remote; EUR 80.000 - 120.000; Vollzeit

Zusammenfassung

Jobtailor in Germany is seeking a Compliance Supervisor to lead a team of principals reviewing broker-dealer and related applications, ensuring completeness and adherence to FINRA/SEC rules. You will oversee new account reviews, monitor quality metrics, and drive improvements in supervision and KYC/AML practices.

The role requires strong regulatory knowledge, excellent communication, and experience supporting audits or regulatory exams in the financial services sector.

Qualifikationen

• 5-7 years of supervisory experience in broker-dealer or compliance function.
• FINRA Series 24 registration required.
• Strong knowledge of suitability, supervisory practices, and FINRA/SEC requirements.
• Ability to interpret regulations and firm policies for account-review decisions.
• Strong written and verbal communication skills.
• Experience in broker-dealer, RIA, bank-affiliated brokerage, or regulated financial services.
• Experience with account-opening and suitability systems.
• Experience supporting regulatory exams or audits.

Aufgaben

• Lead and develop a team of principals reviewing brokerage, advisory, mutual fund, and variable product applications.
• Oversee new account application reviews for completeness, accuracy, appropriateness, and compliance.
• Provide oversight of escalated, complex, or higher‑risk account‑opening decisions.
• Ensure consistent application of suitability, supervisory, KYC/AML, and account‑eligibility requirements.
• Maintain review standards, procedures, escalation protocols, approval criteria, supervisory controls, and documentation.
• Partner with Operations, Compliance, Legal, and Risk to resolve account‑opening issues.
• Promote AI adoption and continuous improvement.
• Monitor application volumes, turnaround times, quality metrics, exceptions, and KPIs.
• Conduct QA reviews to identify trends, deficiencies, training needs, and control weaknesses.
• Serve as escalation point for complex customer, account, product, ownership, restriction, or suitability matters.
• Lead training for registered principals and account‑opening personnel.
• Support regulatory exams, internal audits, compliance testing, and management reporting.
• Stay current on relevant securities regulations, FINRA rules, firm policies, and industry practices.

Kenntnisse

Account Review

Compliance Oversight

KYC/AML Requirements

Quality Assurance

Regulatory Interpretation

Escalation Protocols

Training Development

Documentation Standards

Risk Management

Metrics Monitoring

Ausbildung

FINRA Series 24

Jobbeschreibung

• Lead and develop a team of registered principals who review and approve brokerage, advisory, mutual fund, and variable product applications
• Oversee new account application reviews for completeness, accuracy, appropriateness, and compliance
• Provide oversight of escalated, complex, or higher‑risk account‑opening decisions
• Ensure consistent application of suitability, supervisory, KYC/AML, and account‑eligibility requirements
• Maintain review standards, procedures, escalation protocols, approval criteria, supervisory controls, and documentation
• Partner with Operations, Compliance, Legal, and Risk to resolve account‑opening issues
• Promote AI adoption and continuous improvement
• Monitor application volumes, turnaround times, quality metrics, exceptions, and KPIs
• Conduct QA reviews to identify trends, deficiencies, training needs, and control weaknesses
• Serve as escalation point for complex customer, account, product, ownership, restriction, or suitability matters
• Lead training for registered principals and account‑opening personnel
• Support regulatory exams, internal audits, compliance testing, and management reporting
• Stay current on relevant securities regulations, FINRA rules, firm policies, and industry practices

Requirements

• 5-7 years of supervisory experience in broker‑dealer or compliance function
• FINRA Series 24 registration required
• Strong knowledge of suitability, supervisory practices, and FINRA/SEC requirements
• Ability to interpret regulations and firm policies for account‑review decisions
• Strong written and verbal communication skills
• Experience in broker‑dealer, RIA, bank‑affiliated brokerage, or regulated financial services
• Experience with account‑opening and suitability systems
• Experience supporting regulatory exams or audits

Core Competencies

Demonstrates expertise in supervising account application reviews, ensuring compliance with FINRA and SEC regulations, and leading training initiatives for registered principals. Proficient in monitoring quality metrics and collaborating with cross‑functional teams to resolve complex account‑opening issues.

Highest-signal resume keywords

• Supervisory Experience
• FINRA Series 24 Registration
• Knowledge of Suitability Practices
• Account-Opening Systems Experience
• Regulatory Exam Support

Hard Skills

• Account Review
• Compliance Oversight
• KYC/AML Requirements
• Quality Assurance
• Regulatory Interpretation
• Escalation Protocols
• Training Development
• Documentation Standards
• Risk Management
• Metrics Monitoring

Soft Skills

• Strong Communication Skills
• Leadership
• Problem‑Solving
• Collaboration
• Training Skills

Certifications & Qualifications

• FINRA Series 24

Industry Keywords

• Broker-Dealer
• Regulated Financial Services
• Securities Regulations
• FINRA Rules
• Internal Audits
• Compliance Testing
• Mutual Fund Applications
• Advisory Applications
• Variable Product Applications
• Account Eligibility