Brokerage Operations Director — Risk, Compliance & Growth

moomoo; Jersey City (NJ); On-site; USD 90,000 - 125,000; Full time

Benefits offered by this job

Comprehensive Paid Medical Benefits

401k Employer Contribution

Generous Paid Time Off & Paid Holidays

Opportunities for Professional Growth & Development

Performance Based Bonuses

Job summary

A leading financial services company is seeking an experienced Operations Director to oversee their Broker-Dealer operations. The role encompasses operational oversight, risk management, and regulatory compliance, with a focus on optimizing processes. Candidates should possess significant experience and a strong understanding of industry regulations, driving improvements within the operational framework while collaborating across functions. We offer comprehensive medical benefits, retirement contributions, and opportunities for professional growth.

Qualifications

• 10+ years of experience in Broker-Dealer Operations Control.
• Strong understanding of SEC, FINRA, and regulatory frameworks.
• Exceptional analytical skills with attention to detail.

Responsibilities

• Monitor daily operations, trade settlements, and financial transactions.
• Identify, assess, and mitigate operational risks.
• Ensure adherence to regulatory requirements with proper documentation.

Skills

Risk Management

Compliance Monitoring

Operational Oversight

Trade Reconciliations

Analytical Skills

Education

10+ years of experience in Operations Control

Strong understanding of SEC and FINRA regulations

Job description

A leading financial services company is seeking an experienced Operations Director to oversee their Broker-Dealer operations. The role encompasses operational oversight, risk management, and regulatory compliance, with a focus on optimizing processes. Candidates should possess significant experience and a strong understanding of industry regulations, driving improvements within the operational framework while collaborating across functions. We offer comprehensive medical benefits, retirement contributions, and opportunities for professional growth.