Middle Office Operations Supervisor

Howard-Sloan Search; New York (NY); Hybrid; USD 100,000 - 140,000; Full time

Job summary

A financial company is seeking an Operations Supervisor to lead the supervision of outsourced activities. This is a remote role but requires 2 days a week in Stamford, CT. The successful candidate will ensure operational excellence and compliance while serving as a liaison between stakeholders and service providers. The ideal background includes an undergraduate degree and relevant experience in Fixed Income Operations at an investment bank.

Qualifications

• 3+ years’ experience in Fixed Income Operations at an investment bank.
• Understanding of general accounting principles.
• Familiar with US regulatory requirements specific to Broker Dealer Operations.

Responsibilities

• Lead day-to-day supervision of outsourced and third-party managed activities.
• Ensure operational excellence, risk management, and regulatory compliance across financial and back-office functions.
• Act as a key liaison between internal stakeholders and external service providers.
• Drive issue resolution, evaluate control effectiveness, and pursue continuous process improvement.

Skills

Leadership

Risk Management

Regulatory Compliance

Issue Resolution

Process Improvement

Education

Undergraduate Degree

Tools

FINRA Series 99

FINRA Series 7

Job description

Overview

Financial company in Stamford, CT is seeking to hire an Operations Supervisor. This role is remote, but does require 2 days a week in the Stamford, CT office.

The Operations and Vendor Oversight Manager will lead the day-to-day supervision of outsourced and third-party managed activities. This role is critical in ensuring operational excellence, risk management, and regulatory compliance across a range of financial and back-office functions. The successful candidate will serve as a key liaison between internal stakeholders and external service providers, with a strong focus on issue resolution, control effectiveness, and continuous process improvement.

Base pay range

$100,000.00/yr - $140,000.00/yr

This range is provided by Howard-Sloan Search. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Responsibilities

• Lead day-to-day supervision of outsourced and third-party managed activities.
• Ensure operational excellence, risk management, and regulatory compliance across financial and back-office functions.
• Act as a key liaison between internal stakeholders and external service providers.
• Drive issue resolution, evaluate control effectiveness, and pursue continuous process improvement.

Qualifications

• Undergraduate Degree required
• FINRA Series 99 and/or 7 is a plus
• 3+ years’ experience in Fixed Income Operations at an investment bank
• Understanding of general accounting principles
• Familiar with US regulatory requirements specific to Broker Dealer Operations

Seniority level

• Mid-Senior level

Employment type

• Full-time

Job function

• Other