Broker-Dealer Operations Lead for Process & Compliance

Galicia Capital US, LLC; Miami (FL); On-site; USD 110,000 - 170,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Life insurance

Disability insurance

401(k) matching

Job summary

Galicia Capital US, LLC seeks an Operations Manager to oversee and continually improve the broker-dealer’s operational infrastructure. You will manage end-to-end processes supporting client accounts, cash movements, and security transactions, coordinating with clearing brokers, custodians, and vendors to ensure accurate and compliant operations.

You will build a strong control environment, identify risks, implement mitigations, and develop scalable procedures in collaboration with Compliance and

Qualifications

• Bachelor degree in Business, Finance, Accounting or related field.
• 5+ years of broker-dealer operations experience.
• Knowledge of securities and fixed income operations and trade lifecycle processes and reporting.
• Experience with FINRA-regulated entities.
• Strong analytical, organizational, and communication skills.
• Spanish and English preferred.
• FINRA licenses SIE, Series 7, Series 99 and Series 24 or ability to obtain in the first 120 days.

Responsibilities

• Oversee daily broker-dealer operations.
• Manage relationships with clearing firms and vendors.
• Ensure timely processing of transactions and client requests.
• Develop operational procedures and controls.
• Support audits and regulatory examinations.
• Coordinate account onboarding and maintenance.
• Prepare operational reports and metrics.
• Maintain books and records.
• Lead process improvement and automation initiatives.
• Collaborate with Compliance, Finance, and Front Office teams.

Skills

Broker-dealer operations

FINRA-regulated

Regulatory reporting

Trade lifecycle

Communication

Bilingual: EN/ES

Education

Bachelor degree in Business, Finance, Accounting

Job description

Galicia Capital US, LLC seeks an Operations Manager to oversee and continually improve the broker-dealer’s operational infrastructure. You will manage end-to-end processes supporting client accounts, cash movements, and security transactions, coordinating with clearing brokers, custodians, and vendors to ensure accurate and compliant operations.

You will build a strong control environment, identify risks, implement mitigations, and develop scalable procedures in collaboration with Compliance and