Head Of Broker Dealer Operations

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

• 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.
• 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.

Head of Broker Dealer Operations • Miami, GB