Operations Manager

A growing international wealth management and broker-dealer platform is seeking an experienced Operations Manager to oversee and enhance its U.S. operational infrastructure. This is a highly visible role within a lean, collaborative team, offering the opportunity to directly impact operational efficiency, regulatory readiness, and client experience. The firm provides access to global investment solutions for high-net-worth individuals and businesses and operates within a regulated broker-dealer environment. The successful candidate will work closely with senior leadership, front-office professionals, compliance, and external service providers to ensure smooth day-to-day operations and support future growth initiatives. Key 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, account maintenance, and operational support 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 closely with Compliance, Finance, and Front Office teams on operational matters. Supervise and mentor a small team of junior operations professionals while remaining hands-on in daily activities. Qualifications Bachelor's degree in Finance, Accounting, Business, or a related discipline. 5+ years of broker-dealer operations experience within a FINRA-regulated environment. Strong understanding of securities operations, trade lifecycle processes, account onboarding, and regulatory recordkeeping. Experience interacting with clearing firms, custodians, and external service providers. Demonstrated ability to improve processes, implement controls, and manage operational risk. Strong communication, organizational, and problem-solving skills. Spanish language skills are a plus but not required. Licensing Requirements Required Upon Hire SIE Series 7 Series 99 Preferred Series 24 (or willingness to obtain shortly after joining) This opportunity is best suited for a broker-dealer operations professional seeking a hands-on leadership role within a growing and highly collaborative financial services platform. #J-18808-Ljbffr