Director of Brokerage Ops — On-Site Startup Leader

Golden State Capital Pte. Ltd.; Diamond Bar (CA); Presencial; USD 170.000 - 230.000; Tempo integral

Benefícios oferecidos por esta vaga

Healthcare benefits

Performance-based bonuses

Career development programs

Resumo da vaga

Golden State Capital in Diamond Bar, CA is seeking a Director of Brokerage Operations to lead and optimize our brokerage operations within a startup-like environment. You will ensure regulatory compliance, drive operational excellence, and scale processes while supporting a high-performing team.

The role requires 3+ years in brokerage with at least 1 year in management, plus active Series24 licensure. On-site work in Diamond Bar is required, with competitive compensation and performance-based

Qualificações

• Minimum 3 years in a brokerage firm or financial institution, with at least 1 year in a managerial role.
• Active Series24 license required.
• Boutique brokerage expertise in small or mid-size operations.
• Proven ability to drive initiatives from start to finish independently.
• Strong understanding of brokerage operations, regulatory frameworks, and risk management.

Responsabilidades

• Ensuring FINRA and SEC compliance across all brokerage operations
• Leading, mentoring, and managing the operations team
• Analyzing, streamlining, and improving operational processes
• Managing budgets and operational resources
• Delivering exceptional service to clients and internal stakeholders
• Exceptional attention to detail and organizational skills
• Analytical, proactive problem-solver
• Strong understanding of financial services and brokerage operations
• Excellent collaboration, communication, and leadership abilities

Conhecimentos

Leadership

Regulatory compliance

Licensure: Series24

Brokerage operations

Project leadership

On-site work

Descrição da vaga

Golden State Capital in Diamond Bar, CA is seeking a Director of Brokerage Operations to lead and optimize our brokerage operations within a startup-like environment. You will ensure regulatory compliance, drive operational excellence, and scale processes while supporting a high-performing team.

The role requires 3+ years in brokerage with at least 1 year in management, plus active Series24 licensure. On-site work in Diamond Bar is required, with competitive compensation and performance-based