Broker Dealer Launch & Implementation Lead

An international financial institution is seeking an experienced Broker-Dealer Launch & Implementation Lead to oversee the strategic planning, execution, and successful launch of a newly established U.S. Broker-Dealer. This is a highly specialized role for a professional who has hands‑on experience building or implementing a U.S. Broker-Dealer infrastructure—not a traditional project management position. The successful candidate will lead cross‑functional initiatives spanning regulatory approvals, operational design, technology implementation, and vendor coordination while partnering with executive leadership, legal, compliance, and business stakeholders. The ideal candidate will possess deep knowledge of FINRA and SEC regulatory frameworks, broker‑dealer operations, and wealth management infrastructure, with the ability to navigate complex implementation projects from inception through operational readiness. Key Responsibilities Lead the end-to-end implementation and launch of a new U.S. Broker-Dealer, ensuring successful execution across regulatory, operational, and technology workstreams. Develop and maintain comprehensive implementation plans, timelines, governance structures, and milestone reporting. Coordinate activities across executive leadership, legal, compliance, operations, technology, and external consulting partners. Support and coordinate FINRA New Membership Application (NMA), SEC registration activities, and other regulatory initiatives in partnership with internal and external stakeholders. Assist in establishing supervisory frameworks, operational procedures, and governance structures necessary for broker‑dealer operations. Collaborate with compliance teams on Written Supervisory Procedures (WSPs), regulatory documentation, and operational controls. Lead evaluation, selection, and implementation of core broker‑dealer infrastructure, including clearing and custody relationships, order management systems, portfolio management platforms, and compliance technologies. Coordinate vendor implementations and ensure successful integration across business and operational functions. Oversee testing, readiness assessments, and go-live planning for critical systems and workflows. Act as the primary liaison among executive leadership, operations, technology, compliance, legal, and international stakeholders. Identify implementation risks, regulatory challenges, and operational dependencies while proactively developing mitigation strategies. Drive collaboration across multiple teams to ensure alignment and timely project execution. Design scalable business processes supporting trading, onboarding, compliance, operations, and client servicing. Identify opportunities to streamline workflows and enhance operational efficiency between affiliated entities. Ensure all implementation activities support long-term regulatory compliance and business scalability. Qualifications 5+ years of experience leading complex broker‑dealer implementation, launch, or transformation initiatives within the financial services industry. Demonstrated experience participating in the formation, registration, or build-out of a U.S. Broker-Dealer strongly preferred. Strong knowledge of FINRA, SEC, and broker‑dealer regulatory frameworks and operational requirements. Experience working with broker‑dealer infrastructure, including clearing firms, custody platforms, trading systems, and compliance technologies. Proven ability to manage enterprise-wide initiatives involving multiple stakeholders and third-party vendors. Excellent organizational, communication, and executive presentation skills. Ability to navigate complex regulatory and operational environments while balancing competing priorities. Fluent in both English and Spanish (written and verbal). #J-18808-Ljbffr Ascendo Resources