Bilingual Broker-Dealer Operations Manager

Leeds Professional Resources; Miami (FL); On-site; USD 90,000 - 130,000; Full time

Job summary

Leeds Professional Resources is seeking an experienced Operations Manager to oversee day-to-day broker-dealer operations, ensuring efficiency, regulatory compliance and outstanding service to financial advisors and clients.

The ideal candidate will have broker-dealer operations experience, fluency in English and Spanish, and hold FINRA Series 7 and Series 24 licenses. Strong communication, organizational and problem-solving skills are essential to succeed in a fast-paced environment.

Qualifications

• Active FINRA Series 7 and Series 24 licenses in good standing.
• Fluency in English and Spanish with strong communication skills.
• Experience in broker-dealer operations or financial services.
• Understanding of brokerage operations, account administration, and regulatory requirements.
• Strong organizational, analytical and problem-solving skills.
• Detail-oriented with ability to manage multiple priorities in a fast-paced environment.
• Professional judgment, discretion and confidentiality.
• Proficiency in Microsoft Office and financial services operational systems.

Responsibilities

• Oversee daily broker-dealer operations including account opening, maintenance, transfers, and trade support.
• Ensure regulatory compliance with FINRA, SEC, and state regulations.
• Apply supervisory controls to address exceptions and operational risks.
• Serve as key point of contact for advisors and clients.
• Identify opportunities to streamline workflows and strengthen controls.
• Coordinate priorities and manage workflows for the operations team.
• Maintain records, monitor outstanding items, and assist with audits.
• Collaborate with compliance, trading, finance, technology and other teams.
• Provide bilingual support to advisors, clients, and partners.

Skills

Bilingual English/Spanish

Regulatory awareness

Problem-solving

Attention to detail

Tools

Microsoft Office

Broker-dealer systems

Job description

Leeds Professional Resources is seeking an experienced Operations Manager to oversee day-to-day broker-dealer operations, ensuring efficiency, regulatory compliance and outstanding service to financial advisors and clients.

The ideal candidate will have broker-dealer operations experience, fluency in English and Spanish, and hold FINRA Series 7 and Series 24 licenses. Strong communication, organizational and problem-solving skills are essential to succeed in a fast-paced environment.