Operations Manager - Broker Dealer

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.

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

Key Responsibilities:

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

Qualifications:

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