Head of Broker Dealer Operations

• Lead broker-dealer operations and infrastructure
• Drive controls, automation, and operational excellence

About Our Client

Wealth management firm and brojker-dealer located in Brickell.

Job Description

Operational Leadership

• Oversee all aspects of broker-dealer operations, ensuring the accurate and timely execution of operational activities.
• Manage the end-to-end lifecycle of client accounts, transactions, asset movements, and account maintenance processes.
• Develop and enhance operational policies, procedures, and controls to support business objectives.
• Establish scalable operational frameworks to accommodate growth and evolving business needs.

Vendor & Relationship Management

• Serve as the primary point of contact for external service providers, custodians, clearing firms, and banking partners.
• Monitor vendor performance and ensure service levels meet business and regulatory requirements.
• Coordinate operational initiatives and issue resolution with external stakeholders.

Risk, Controls & Regulatory Support

• Maintain a strong control environment designed to mitigate operational risk.
• Ensure adherence to applicable regulatory requirements and internal policies.
• Support regulatory examinations, audits, testing activities, and information requests.
• Oversee recordkeeping practices and operational documentation to ensure compliance standards are met.
• Identify operational vulnerabilities and implement corrective actions where necessary.

Process Improvement & Reporting

• Lead initiatives focused on process optimization, automation, and operational efficiency.
• Develop key operational metrics and reporting for management review.
• Analyse workflows and identify opportunities to improve service delivery and reduce operational risk.
• Support system enhancements and ongoing operational projects.

Cross-Functional Collaboration

• Partner closely with Compliance, Finance, Technology, and business development teams.
• Support account onboarding activities and ensure a seamless client experience.
• Provide operational expertise on strategic initiatives and business growth opportunities.
• Act as a resource and mentor for operations team members as the function expands.

The Successful Applicant

Requirements

• Bachelor's degree in Business, Finance, Accounting, or a related field.
• Minimum of 5 years of experience within broker-dealer operations.
• Strong understanding of securities operations, fixed income products, and trade lifecycle processes.
• Experience working within a FINRA-regulated environment.
• Knowledge of operational controls, regulatory recordkeeping, and risk management practices.
• Proven ability to manage multiple priorities in a fast-paced and highly regulated setting.
• Strong analytical, problem-solving, and communication skills.
• Experience working with clearing firms, custodians, and external service providers.
• Bilingual English and Spanish language skills are advantageous.
• FINRA licences including SIE, Series 7, Series 99, and Series 24, or the ability to obtain required registrations.

Preferred Background

• Broker-dealer operations leadership
• Wealth management or private banking environments
• Operational risk and controls management
• Regulatory examination and audit support
• Business process improvement and automation initiatives
• Vendor and third-party relationship management

What’s on Offer

• Competitive salary ranging from $180,000 to $250,000.

Contact

Lauren VanManen

Quote job ref

JN-092026-7115818