Senior Operations Manager, Broker-Dealer & Compliance

Selby Jennings; Miami (FL); On-site; USD 90,000 - 120,000; Full time

Job summary

Selby Jennings is seeking an experienced Operations Manager to oversee and enhance the U.S. operational infrastructure within a regulated broker-dealer environment.

The role focuses on improving efficiency, regulatory readiness, and client experience, working closely with senior leadership, front-office, compliance, and external service providers. The successful candidate will supervise a small team while remaining hands-on in daily activities, ensuring timely processing of trades, onboarding,

Qualifications

• Bachelor's degree in Finance, Accounting, Business or related field.
• 5+ years of broker-dealer operations experience in a FINRA-regulated environment.
• Strong understanding of securities operations and regulatory recordkeeping.

Responsibilities

• Oversee daily broker-dealer operations and back-office support activities.
• Manage relationships with clearing firms, custodians, banking partners, and third-party vendors.
• Ensure timely processing of securities transactions, cash movements, and client service requests.
• Coordinate account onboarding and maintenance for client accounts.
• Maintain regulatory books and records in accordance with industry requirements.
• Develop, document, and enhance operational procedures and internal controls.
• Identify operational risks and implement process improvements and automation initiatives.
• Support regulatory examinations, audits, and internal reviews.
• Prepare operational reporting, metrics, and management information.
• Partner with Compliance, Finance, and Front Office teams on operational matters.
• Supervise and mentor a small team of junior operations professionals while remaining hands-on

Skills

Broker-dealer operations

Regulatory compliance

Team leadership

Process improvement

Communication

Education

Bachelor's degree in Finance/Accounting/Business

Tools

FINRA regulations

Back-office systems

Job description

Selby Jennings is seeking an experienced Operations Manager to oversee and enhance the U.S. operational infrastructure within a regulated broker-dealer environment.

The role focuses on improving efficiency, regulatory readiness, and client experience, working closely with senior leadership, front-office, compliance, and external service providers. The successful candidate will supervise a small team while remaining hands-on in daily activities, ensuring timely processing of trades, onboarding,