Brokerage Operations Lead — Back Office & Compliance

Hilltop Securities Inc.; Dallas (TX); On-site; USD 85,000 - 125,000; Full time

Job summary

HilltopSecurities is seeking an Operations Manager to lead an assigned back-office function within asset services and account maintenance. You will ensure accurate, timely processing of client accounts and assets, while maintaining compliance with firm policies and regulatory requirements.

You will supervise staff, drive process improvements, monitor risk, and report key metrics to senior management. A bachelor’s degree and 3–5 years of broker-dealer operations experience are preferred.

Qualifications

• Bachelor’s degree preferred or equivalent industry experience.
• 3 - 5 years of broker-dealer or clearing firm back-office operations experience.
• Familiarity with back-office brokerage operations and DTCC/transfer agents.

Responsibilities

• Manage the daily operations of an assigned back-office function.
• Supervise, train, and develop operations staff. Manage workflow, staffing coverage, and productivity so that all processing is accurate and timely.
• Monitor and resolve exceptions, breaks, suspense items, and aged items. Reconcile positions and activity with counterparties.
• Develop and report key metrics, volumes, and risk indicators to senior management.

Skills

Team leadership

Organizational skills

Attention to detail

Independent worker

Interpersonal skills

Education

Bachelor’s degree preferred or equivalent industry experience

Tools

MS Office

Back-office systems

DTCC familiarity

Transfer agents

Job description

HilltopSecurities is seeking an Operations Manager to lead an assigned back-office function within asset services and account maintenance. You will ensure accurate, timely processing of client accounts and assets, while maintaining compliance with firm policies and regulatory requirements.

You will supervise staff, drive process improvements, monitor risk, and report key metrics to senior management. A bachelor’s degree and 3–5 years of broker-dealer operations experience are preferred.