Operations Manager - Broker Dealer

Ascendo Resources; Miami (FL); On-site; USD 110,000 - 170,000; Full time

Job summary

Ascendo Resources represents an established financial services firm seeking an experienced Operations Manager to oversee client servicing, account administration, and multi-custodian workflows.

This hands-on leadership role requires broker-dealer operations experience, regulatory knowledge, and strong team management capabilities to drive accuracy, compliance, and efficient service delivery.

Qualifications

• 5+ years in broker-dealer operations, wealth management, or financial services.
• FINRA Series 7, 66, and 24 or 9/10 licenses required.
• Supervisory experience managing operations teams.
• Strong understanding of account opening, asset movement, and multi-custodian platforms.
• Knowledge of FINRA regulations, AML, and compliance requirements.

Responsibilities

• Lead daily operations including account opening, maintenance, asset transfers, and client servicing.
• Review and approve wire transfers, journals, deposits, account transfers, and trade corrections.
• Oversee operations across multiple custodial platforms ensuring accuracy and compliance.
• Manage, train, and supervise operations personnel to ensure efficient workflows.
• Resolve escalated client and operational issues with internal stakeholders.
• Maintain compliance with FINRA regulations, AML, and internal policies.
• Support operational improvements, reporting, and special projects.

Skills

Broker-dealer operations

Team management

Regulatory knowledge

Analytical skills

Communication

Operational oversight

Education

Bachelor's degree or equivalent

Tools

Pershing systems

Job description

We are representing an established financial services firm seeking an experienced Operations Manager to oversee client servicing, account administration, and operational workflows across multiple custodian platforms.

This is a hands-on leadership role requiring strong broker-dealer operations experience, regulatory knowledge, and team management capabilities.

Key Responsibilities:

• Lead daily operations, including account opening, maintenance, asset transfers, and client servicing.
• Review and approve wire transfers, journals, deposits, account transfers, and trade corrections.
• Oversee operational activities across multiple custodial platforms, ensuring accuracy and regulatory compliance.
• Manage, train, and supervise operations personnel, ensuring efficient workflow and service delivery.
• Resolve escalated client and operational issues while partnering with internal stakeholders.
• Maintain compliance with FINRA regulations, AML requirements, and internal policies.
• Support operational improvements, reporting, and special projects.

Qualifications:

• 5+ years of experience in broker-dealer operations, wealth management, or financial services.
• FINRA Series 7, 66, and 24 or 9/10 licenses required.
• Previous supervisory experience managing operational teams.
• Strong understanding of account opening, asset movement, and multi-custodian platforms.
• Knowledge of FINRA regulations, AML, and compliance requirements.
• Experience with Pershing systems highly desirable.
• Strong organizational, analytical, and communication skills.
• Bachelor's degree preferred or equivalent relevant experience.