Operations Manager Series 7

Ascendo Resources; Miami (FL); On-site; USD 90,000 - 130,000; Full time

Job summary

Ascendo Resources seeks an experienced Operations Manager to oversee daily broker-dealer operations, ensuring regulatory compliance and high-quality client service. You will manage trade processing, settlement, and reconciliation while improving controls and processes.

You will mentor staff, collaborate with Compliance and Client Services, and ensure timely resolution of client inquiries and operational issues. Knowledge of SEC/FINRA rules is essential.

Responsibilities

• Oversee daily broker-dealer operations including trade processing, settlement and reconciliation.
• Maintain documentation for regulatory examinations and audits.
• Identify operational and regulatory risks and implement controls.
• Mentor and supervise operations staff to maintain high performance.
• Collaborate with Compliance and Client Services to ensure seamless operations.
• Resolve client inquiries and operational issues promptly.
• Analyze data to identify trends and recommend process improvements.

Job description

Seeking an experienced Operations Manager to oversee the day-to-day operations of a broker-dealer. This is a hands-on leadership role for someone with strong broker-dealer operations experience who understands the importance of regulatory compliance, operational controls and delivering an exceptional client experience.

Responsibilities

• Oversee daily broker-dealer operations, including trade processing, settlement and reconciliation.
• Manage and continuously improve operational processes, procedures and controls.
• Ensure operations are conducted in accordance with SEC, FINRA and other applicable regulatory requirements.
• Maintain documentation and operational records in preparation for regulatory examinations and audits.
• Monitor regulatory developments and implement required changes to operational procedures.
• Identify operational and compliance risks and implement appropriate controls and corrective actions.
• Supervise, train and mentor operations staff while fostering a collaborative, high-performing environment.
• Partner closely with Compliance, Client Services and other internal teams to ensure seamless operations.
• Resolve operational issues and escalated client inquiries in a timely and professional manner.
• Analyze operational data, identify trends and recommend process improvements.
• Develop and report on key operational metrics and performance indicators.

Qualifications

• Bachelor’s degree in Finance, Business Administration or related discipline preferred.
• 5+ years of experience in broker-dealer operations.
• Strong understanding of securities markets, trade lifecycle, settlement and reconciliation.
• In-depth knowledge of SEC and FINRA rules and broker-dealer regulatory requirements.
• Strong understanding of operational risk, controls and compliance best practices.
• Previous experience managing or mentoring operations professionals.
• Experience working with trading platforms, CRM systems and other broker-dealer technology.
• Strong analytical, organizational and problem-solving abilities.
• FINRA Series 7 required and either a Series 99 and or Series 24 highly desirable, or ability to obtain within six months