Operations Manager - Broker Dealer

Job Description

We are representing an established financial services firm seeking an experienced Operations Manager to oversee client servicing, account administration, and operational workflows across multiple custodian platforms.

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This is a hands-on leadership role requiring strong broker-dealer operations experience, regulatory knowledge, and team management capabilities.

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Key Responsibilities:

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• Lead daily operations, including account opening, maintenance, asset transfers, and client servicing.
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• Review and approve wire transfers, journals, deposits, account transfers, and trade corrections.
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• Oversee operational activities across multiple custodial platforms, ensuring accuracy and regulatory compliance.
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• Manage, train, and supervise operations personnel, ensuring efficient workflow and service delivery.
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• Resolve escalated client and operational issues while partnering with internal stakeholders.
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• Maintain compliance with FINRA regulations, AML requirements, and internal policies.
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• Support operational improvements, reporting, and special projects.
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Qualifications:

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• 5+ years of experience in broker-dealer operations, wealth management, or financial services.
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• FINRA Series 7, 66, and 24 or 9/10 licenses required.
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• Previous supervisory experience managing operational teams.
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• Strong understanding of account opening, asset movement, and multi-custodian platforms.
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• Knowledge of FINRA regulations, AML, and compliance requirements.
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• Experience with Pershing systems highly desirable.
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• Strong organizational, analytical, and communication skills.
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• Bachelor's degree preferred or equivalent relevant experience.
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• Bilingual Spanish and English preferred
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