Head of Broker Dealer Operations
About the Company
Wealth management firm and broker-dealer in Brickell
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Head of Broker Dealer Operations to provide strategic and operational leadership in the management of all broker-dealer activities. The successful candidate will be responsible for driving operational excellence, automation, and controls, as well as overseeing the end-to-end lifecycle of client accounts, transactions, and asset movements. This role involves the development and enhancement of operational policies, procedures, and controls to support business objectives, as well as the establishment of scalable operational frameworks. The Head of Broker Dealer Operations will also be the primary point of contact for external service providers and will ensure that vendor performance meets business and regulatory requirements. Applicants must have a Bachelor's degree in a relevant field, a minimum of 5 years' experience in broker-dealer operations, and a strong understanding of securities operations, fixed income products, and trade lifecycle processes. Experience in a FINRA-regulated environment, knowledge of operational controls, regulatory recordkeeping, and risk management practices are essential. The role requires a proven ability to manage multiple priorities in a fast-paced, regulated setting, and strong analytical, problem-solving, and communication skills. Bilingual English and Spanish language skills and FINRA licenses are advantageous. The ideal candidate will have a background in operational risk and controls management, regulatory examination and audit support, and experience in business process improvement and automation initiatives.
Functions
...Forestry Technician Mountain Engineering is actively seeking dedicated individuals to join our team as Forestry Technicians. As a Forestry Technician, you will be responsible for various forestry tasks, including conducting timber cruising, timber marking, and unit...
...We're growing, and we're looking for experienced broker-dealer FINOPs and compliance professionals. RND Resources has supported broker-dealers since 1985, and demand for our outsourced FINOP and compliance subscriptions is ahead of our bench. How it works: 1...
...Sony Corporation of America Law Student Intern Sony Corporation of America ("SCA") is seeking a Spring 2027 law student intern to support the Legal, Ethics & Trust Department. This is a paid internship and the intern will assist lawyers in transactional, litigation...
Tommy Raskin Summer 2027 Legal Intern Program for Animals The Tommy Raskin Summer Legal Intern Program for Animals was established in 2021 in memory of Tommy Raskin, who we hosted as a legal intern during the summer of 2020 after his first year of law school. Tommy...
...Security SupervisorHapeville-11074 - Hapeville, GA 30354OverviewSalary Range $20.45 - $20.45 Hourly Position Type Full Time Job Shift... ...officers into successful careers in law enforcement, government services, foreign affairs and many more. Your career success drives our...