Finance Ops Manager: Broker-Dealer Ops & Client Experience

Prospera Financial; Dallas (TX); On-site; USD 75,000 - 95,000; Full time

Job summary

A financial services company based in Dallas is looking for an Operations Manager to supervise the Operations Department and ensure compliance with regulatory requirements. The ideal candidate will have at least a college degree and 5+ years of experience in broker-dealer operations, along with strong skills in strategic thinking, organization, and customer service. Responsibilities include managing daily operations, improving client experience, and compliance documentation.

Qualifications

• Required to have a college degree.
• 5+ years of experience in broker-dealer operations is necessary.
• Must hold Series 7 and Series 63/65 or 66 licenses.

Responsibilities

• Supervise day-to-day operations and staff.
• Enhance the client experience through service standards.
• Oversee compliance tasks and operational processes.

Skills

Strategic thinking

Organizational skills

Customer service focus

Knowledge of financial regulations

Effective communication

Analytical skills

Multi-tasking ability

Microsoft Office proficiency

Salesforce experience

Education

College Degree

5+ years of broker-dealer experience

Tools

Microsoft Office

Salesforce

Job description

A financial services company based in Dallas is looking for an Operations Manager to supervise the Operations Department and ensure compliance with regulatory requirements. The ideal candidate will have at least a college degree and 5+ years of experience in broker-dealer operations, along with strong skills in strategic thinking, organization, and customer service. Responsibilities include managing daily operations, improving client experience, and compliance documentation.