Operations Manager
Operations Manager
Miami, FL | Onsite (5 Days/Week)
About the Opportunity
A growing international wealth management and broker-dealer platform is seeking an experienced Operations Manager to oversee and enhance its U.S. operational infrastructure. This is a highly visible role within a lean, collaborative team, offering the opportunity to directly impact operational efficiency, regulatory readiness, and client experience.
The firm provides access to global investment solutions for high-net-worth individuals and businesses and operates within a regulated broker-dealer environment. The successful candidate will work closely with senior leadership, front-office professionals, compliance, and external service providers to ensure smooth day-to-day operations and support future growth initiatives.
Key Responsibilities
- Oversee daily broker-dealer operations and back-office support activities.
- Manage relationships with clearing firms, custodians, banking partners, and third-party vendors.
- Ensure timely processing of securities transactions, cash movements, and client service requests.
- Coordinate account onboarding, account maintenance, and operational support for client accounts.
- Maintain regulatory books and records in accordance with industry requirements.
- Develop, document, and enhance operational procedures and internal controls.
- Identify operational risks and implement process improvements and automation initiatives.
- Support regulatory examinations, audits, and internal reviews.
- Prepare operational reporting, metrics, and management information.
- Partner closely with Compliance, Finance, and Front Office teams on operational matters.
- Supervise and mentor a small team of junior operations professionals while remaining hands-on in daily activities.
Qualifications
- Bachelor's degree in Finance, Accounting, Business, or a related discipline.
- 5+ years of broker-dealer operations experience within a FINRA-regulated environment.
- Strong understanding of securities operations, trade lifecycle processes, account onboarding, and regulatory recordkeeping.
- Experience interacting with clearing firms, custodians, and external service providers.
- Demonstrated ability to improve processes, implement controls, and manage operational risk.
- Strong communication, organizational, and problem-solving skills.
- Spanish language skills are a plus but not required.
Licensing Requirements
Required Upon Hire
- SIE
- Series 7
- Series 99
Preferred
- Series 24 (or willingness to obtain shortly after joining)
This opportunity is best suited for a broker-dealer operations professional seeking a hands-on leadership role within a growing and highly collaborative financial services platform.
FAQs
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