Trade Operations Manager - Broker Dealer

We are seeking an experienced, detail-oriented Operations Manager to oversee the day-to-day operations of our broker-dealer business. This individual will play a key role in ensuring operational efficiency, regulatory compliance, and exceptional service to financial advisors, clients, and business partners.

The ideal candidate has a strong understanding of broker-dealer operations, a proactive approach to problem-solving, and the ability to communicate effectively in both English and Spanish. Active FINRA Series 7 and Series 24 licenses are required.

Key Responsibilities

Broker-Dealer Operations: Oversee daily operational activities, including account opening, account maintenance, transfers, trade support, documentation, and transaction processing.

Regulatory Compliance

Support compliance with FINRA, SEC, and applicable state regulations, as well as internal policies and supervisory procedures.

Supervision

Apply appropriate supervisory controls and escalate potential compliance issues, exceptions, and operational risks in accordance with established procedures.

Advisor & Client Support

Serve as a key point of contact for financial advisors and clients, resolving operational issues efficiently and professionally.

Process Improvement

Identify opportunities to streamline workflows, improve accuracy, strengthen controls, and enhance the overall client and advisor experience.

Team Leadership

Coordinate daily priorities, manage workflows, and help ensure the operations team meets service standards and deadlines.

Documentation & Reporting

Maintain accurate records, monitor outstanding items, and assist with operational reporting, audits, and regulatory reviews.

Cross-Functional Collaboration

Work closely with compliance, trading, finance, technology, and other internal teams to support business objectives.

Bilingual Communication

Provide professional support in both English and Spanish to advisors, clients, and business partners as needed.

Required Qualifications

• Active FINRA Series 7 and Series 24 licenses in good standing.
• Fluency in both English and Spanish , with strong verbal and written communication skills in both languages.
• Prior experience in broker-dealer operations, financial services, or a registered investment firm.
• Solid understanding of brokerage operations, account administration, trade processing, and regulatory requirements.
• Strong organizational, analytical, and problem-solving skills.
• Excellent attention to detail and the ability to manage multiple priorities in a fast-paced environment.
• Professional judgment, discretion, and a strong commitment to confidentiality and regulatory integrity.
• Proficiency in Microsoft Office and financial services operational systems.