Head of Broker Dealer Operations

Page Executive; Miami (FL); Vor Ort; USD 180.000 - 250.000; Vollzeit

Zusammenfassung

Page Executive in Miami seeks an experienced Operational Leader to head broker-dealer operations, drive controls and automation, and support growth with scalable processes.

You will manage client accounts, asset movements, and account maintenance, while developing policies, overseeing vendors, and ensuring regulatory compliance in a fast-paced, FINRA-regulated environment. Bilingual English/Spanish is advantageous.

Qualifikationen

• Bachelor's degree in Business, Finance, Accounting or related field.
• Minimum of 5 years of experience within broker-dealer operations.
• Strong understanding of securities operations, fixed income products, and trade lifecycle processes.
• Experience working within a FINRA-regulated environment.
• Knowledge of operational controls, regulatory recordkeeping, and risk management practices.
• Proven ability to manage multiple priorities in a fast-paced and highly regulated setting.
• Bilingual English and Spanish language skills are advantageous.
• FINRA licences including SIE, Series 7, Series 99, and Series 24, or the ability to obtain required registrations.

Aufgaben

• Oversee all aspects of broker-dealer operations, ensuring the accurate and timely execution of operational activities.
• Manage the end-to-end lifecycle of client accounts, transactions, asset movements, and account maintenance processes.
• Develop and enhance operational policies, procedures, and controls to support business objectives.
• Establish scalable operational frameworks to accommodate growth and evolving business needs.
• Serve as the primary point of contact for external service providers, custodians, clearing firms, and banking partners.
• Monitor vendor performance and ensure service levels meet business and regulatory requirements.
• Coordinate operational initiatives and issue resolution with external stakeholders.
• Maintain a strong control environment designed to mitigate operational risk.
• Ensure adherence to applicable regulatory requirements and internal policies.
• Support regulatory examinations, audits, testing activities, and information requests.
• Oversee recordkeeping practices and operational documentation to ensure compliance standards are met.
• Identify operational vulnerabilities and implement corrective actions where necessary.
• Lead initiatives focused on process optimization, automation, and operational efficiency.
• Develop key operational metrics and reporting for management review.
• Analyse workflows and identify opportunities to improve service delivery and reduce operational risk.
• Support system enhancements and ongoing operational projects.
• Partner closely with Compliance, Finance, Technology, and business development teams.
• Support account onboarding activities and ensure a seamless client experience.
• Provide operational expertise on strategic initiatives and business growth opportunities.
• Act as a resource and mentor for operations team members as the function expands.

Kenntnisse

Broker-dealer operations

Regulatory compliance

Risk management

Vendor management

Cross-functional collaboration

Ausbildung

Bachelor's degree in Business, Finance, Accounting

Tools

FINRA licences (SIE, Series 7, Series 99, Series 24)

Jobbeschreibung

• Lead broker-dealer operations and infrastructure
• Drive controls, automation, and operational excellence

About Our Client

Wealth management firm and brojker-dealer located in Brickell.

Job Description

Operational Leadership

• Oversee all aspects of broker-dealer operations, ensuring the accurate and timely execution of operational activities.
• Manage the end-to-end lifecycle of client accounts, transactions, asset movements, and account maintenance processes.
• Develop and enhance operational policies, procedures, and controls to support business objectives.
• Establish scalable operational frameworks to accommodate growth and evolving business needs.

Vendor & Relationship Management

• Serve as the primary point of contact for external service providers, custodians, clearing firms, and banking partners.
• Monitor vendor performance and ensure service levels meet business and regulatory requirements.
• Coordinate operational initiatives and issue resolution with external stakeholders.

Risk, Controls & Regulatory Support

• Maintain a strong control environment designed to mitigate operational risk.
• Ensure adherence to applicable regulatory requirements and internal policies.
• Support regulatory examinations, audits, testing activities, and information requests.
• Oversee recordkeeping practices and operational documentation to ensure compliance standards are met.
• Identify operational vulnerabilities and implement corrective actions where necessary.

Process Improvement & Reporting

• Lead initiatives focused on process optimization, automation, and operational efficiency.
• Develop key operational metrics and reporting for management review.
• Analyse workflows and identify opportunities to improve service delivery and reduce operational risk.
• Support system enhancements and ongoing operational projects.

Cross-Functional Collaboration

• Partner closely with Compliance, Finance, Technology, and business development teams.
• Support account onboarding activities and ensure a seamless client experience.
• Provide operational expertise on strategic initiatives and business growth opportunities.
• Act as a resource and mentor for operations team members as the function expands.

The Successful Applicant

Requirements

• Bachelor's degree in Business, Finance, Accounting, or a related field.
• Minimum of 5 years of experience within broker-dealer operations.
• Strong understanding of securities operations, fixed income products, and trade lifecycle processes.
• Experience working within a FINRA-regulated environment.
• Knowledge of operational controls, regulatory recordkeeping, and risk management practices.
• Proven ability to manage multiple priorities in a fast-paced and highly regulated setting.
• Strong analytical, problem-solving, and communication skills.
• Experience working with clearing firms, custodians, and external service providers.
• Bilingual English and Spanish language skills are advantageous.
• FINRA licences including SIE, Series 7, Series 99, and Series 24, or the ability to obtain required registrations.

Preferred Background

• Broker-dealer operations leadership
• Wealth management or private banking environments
• Operational risk and controls management
• Regulatory examination and audit support
• Business process improvement and automation initiatives
• Vendor and third-party relationship management

What’s on Offer

• Competitive salary ranging from $180,000 to $250,000.