Operations Supervisor - Broker Dealer

The Operations Supervisor - Broker Dealer leads the function with full accountability for daily operations, controls, and strategic execution. This role goes beyond oversight and requires a leader who can navigate operational complexity, drive transformation, and build scalable solutions within our operating model.

The environment includes high operational complexity, systems, as well as a hybrid operating model across locations. The selected candidate must be comfortable operating within this structure and be motivated to optimize, enhance, and evolve it.

Key Responsibilities

• Supervise end-to-end custody operations, including settlements, margin controls, FX, derivatives (listed and OTC), and related activities
• Oversee trade lifecycle from execution to settlement, ensuring accuracy, timeliness, and proper booking across systems
• Monitor and resolve unmatched and failed trades, including complex trade corrections
• Review broker statements, commissions, and payments
• Ensure compliance with regulatory reporting requirements and internal policies
• Escalate operational risks, discrepancies, and unusual activity in a timely manner

Process Innovation & Efficiency

• Lead initiatives to reduce manual processing and reliance on multiple systems, spreadsheets, and workarounds
• Identify and implement automation opportunities and process simplification strategies
• Redesign workflows to address operational inefficiencies, particularly in complex account structures (e.g., COD) and settlement processes
• Establish KPIs and reporting to track efficiency, quality, and processing times
• Drive measurable improvements in control environment and operational performance

Strategic Build & Transformation

• Take ownership of building and enhancing processes within a complex and evolving operating model
• Design and implement scalable workflows, controls, and procedures where gaps currently exist
• Address structural challenges in the current setup (e.g., trade corrections, settlements, system fragmentation) through practical and controlled solutions
• Support and lead transformation initiatives, including system enhancements and process standardization
• Act as a change leader to ensure adoption of new processes and continuous evolution of the operating model

Operating Model & Global Coordination

• Effectively operate within and optimize a hybrid Miami / global hub model, ensuring alignment and efficiency across teams
• Partner with global teams to streamline processes and improve coordination despite structural complexities

Governance, Risk & Controls

• Establish and monitor key risk indicators (KRIs) and early warning signals
• Ensure strong audit trail, documentation, and adherence to internal controls
• Maintain and enhance policies and procedures to align with evolving processes
• Ensure compliance with AML/BSA and internal governance standards

Stakeholder & Team Leadership

• Supervise and develop the custody team, driving accountability and performance
• Partner with Trading, Treasury, Technology, Compliance, and external counterparties
• Provide clear and concise reporting to senior management on risks, issues, and initiatives
• Act as a key escalation point for complex operational challenges

Qualifications

• Bachelor’s degree required (Master’s preferred)
• Series 99 or 7 License
• Minimum 5+ years of experience in custody, securities operations, or similar environment.
• Previous Supervisory experience.
• Strong knowledge of securities, derivatives, and settlement processes
• Advanced Excel and data analysis skills

Key Competencies

• Sees opportunity in complex, non traditional operating models rather than constraints
• Proven ability to drive efficiency, reduce manual processes, and improve fragmented environments
• Demonstrated experience building processes, controls, or frameworks from the ground up
• Strong innovation mindset with focus on continuous improvement and scalable solutions
• Comfortable operating in environments with multiple systems and operational complexity
• Ability to challenge the status quo while maintaining strong risk and control discipline
• High ownership mentality with focus on execution and results
• Motivated to contribute to and shape the evolution of the operating model

Equal Opportunity Employer


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