Financial Operations Manager

Remx; United States; Remote; USD 110,000 - 175,000; Full time

Benefits offered by this job

Medical

Dental

Vision

401(k)

Job summary

Remx seeks a Financial Operations Manager to oversee daily back-office and middle-office operations in a remote role.

The position emphasizes AML/KYC, licensing, and client account servicing, with collaboration across Compliance, Legal, Trading, and Finance teams to ensure regulatory adherence.

Qualifications

• 7+ years of broker-dealer operations experience.
• Active FINRA Series 24 license required.
• Strong knowledge of broker-dealer regulations.
• Experience with fixed income, equities, options and Rule 144 transactions.

Responsibilities

• Manage new accounts, AML/KYC, licensing and registrations.
• Oversee ACATS, DWAC, wires, securities transfers, and account maintenance.
• Supervise operational processes and client account servicing.
• Support compliance reviews, audits, and regulatory examinations.
• Partner with Compliance, Legal, Trading, and Finance teams.

Skills

Broker-dealer operations experience

Regulatory knowledge

Fixed income, equities, options

Rule 144 transactions

Education

FINRA Series 24

Job description

Financial Operations Manager - REMOTE ROLE!

A well-established independent broker-dealer is seeking a Financial Operations Manager to oversee daily back-office and middle-office operations.

Key Responsibilities

• Manage new accounts, AML/KYC, licensing and registrations
• Oversee ACATS, DWAC, wires, securities transfers, and account maintenance
• Supervise operational processes and client account servicing
• Support compliance reviews, audits, and regulatory examinations
• Partner with Compliance, Legal, Trading, and Finance teams

Qualifications

• 7+ years of broker-dealer operations experience
• Active FINRA Series 24 license required
• Strong knowledge of broker-dealer regulations
• Experience with fixed income, equities, options, and Rule 144 transactions

Benefits

Medical, Dental, Vision, and 401(k)

Salary: Depending on Experience/Competitive with market (110-175K, NEG+ bonus/benefits).