Broker-Dealer Ops Lead | Growth, Risk & Compliance

Page Executive; Grays; On-site; GBP 90,000 - 120,000; Full time

Job summary

Page Executive is seeking aHead of Broker Dealer Operations to oversee all broker-dealer operations and manage the end-to-end lifecycle of client accounts, transactions, and asset movements. The role focuses on developing robust policies, scalable processes, and strong vendor relationships to support growth.

The position emphasizes risk management, regulatory compliance, and continuous improvement, with mentorship of the expanding operations team and close collaboration with Compliance, Finance,

Qualifications

• Oversee broker-dealer operations and ensure timely execution of operational activities.
• Lead end-to-end lifecycle of client accounts, transactions, asset movements and account maintenance.

Responsibilities

• Develop and enhance operational policies, procedures and controls.
• Establish scalable operational frameworks to support growth.
• Serve as primary contact for external service providers, custodians, clearing firms and banking partners.
• Monitor vendor performance to meet service levels and regulatory requirements.
• Coordinate initiatives and issue resolution with external stakeholders.
• Provide operational expertise on strategic initiatives and business growth.
• Mentor operations team members as the function expands.

Job description

Page Executive is seeking aHead of Broker Dealer Operations to oversee all broker-dealer operations and manage the end-to-end lifecycle of client accounts, transactions, and asset movements. The role focuses on developing robust policies, scalable processes, and strong vendor relationships to support growth.

The position emphasizes risk management, regulatory compliance, and continuous improvement, with mentorship of the expanding operations team and close collaboration with Compliance, Finance,