Brokerage Operations Manager
Company Overview A privately held, employee-owned financial services firm with a longstanding reputation in the capital markets industry is seeking a Brokerage Operations Manager to join its Dallas-based team. The firm specializes in fixed income and institutional financial services and offers a collaborative environment where operational leadership plays a critical role in supporting trading, client service, regulatory compliance, and business growth.
Position Overview The Brokerage Operations Manager will oversee day-to-day brokerage operations, lead a small team, and serve as a key liaison between clients, counterparties, sales professionals, and internal stakeholders. This individual will be responsible for trade processing, settlements, client onboarding, regulatory reporting, and operational oversight across multiple asset classes. The role offers broad exposure to middle- and back-office functions within a highly visible financial services environment.
Role Responsibilities
- Lead and develop a small operations team while overseeing daily brokerage operations activities.
- Process and monitor transactions across fixed income, equity, and mutual fund products.
- Manage trade reporting, settlement reconciliation, exception resolution, and operational controls.
- Oversee client onboarding processes for institutional and retail accounts, including account maintenance and user access administration.
- Monitor cash movements, wire activity, margin-related items, and operational risk controls.
- Prepare and distribute operational reporting, commission adjustments, and transaction blotters.
- Partner closely with sales, trading, and capital markets teams to support transaction execution and client servicing needs.
- Provide responsive support to clients and counterparties, resolving inquiries related to trade activity, account administration, and operational matters.
- Ensure adherence to regulatory requirements, firm policies, and industry best practices.
- Support affiliated advisory and investment management activities as needed.
Qualifications
- 7+ years of experience within brokerage, capital markets, securities operations, or financial services operations.
- Prior experience managing or mentoring a small operations team.
- Knowledge of trade processing, settlements, client onboarding, and securities operations workflows.
- Experience working with brokerage and trading platforms, market data systems, and operational reporting tools.
- Industry licensing such as SIE and/or Operations Professional registration preferred; additional FINRA licenses are a plus.
- Strong understanding of regulatory requirements and operational controls within a broker-dealer or capital markets environment.
- Advanced Microsoft Excel skills and proficiency with Microsoft Office applications.
- Excellent organizational, problem-solving, and relationship management abilities.
- Ability to manage multiple priorities in a deadline-driven environment while maintaining exceptional attention to detail.
- Strong communication skills with the ability to collaborate effectively across operations, sales, trading, and client-facing teams.
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