Broker Dealer Operations Manager Overview • The Broker Dealer Operations Manager oversees operational activities, ensuring efficient trade processing across global and domestic markets. • Provide comprehensive client support throughout the trade lifecycle, from onboarding to settlement. • Mentor junior staff, fostering their professional development and operational expertise. • Ensure compliance with regulatory requirements and internal control standards. • Identify opportunities to streamline workflows and enhance operational efficiency. • Act as a senior resource, maintaining operational excellence and enhancing client experiences. • Lead and support operational projects, including system upgrades and process improvements. • Collaborate with internal and external audits, providing required documentation and updates. • Manage exceptions such as penalties, buy-ins, and cash discrepancies effectively. Broker Dealer Operations Manager Key Responsibilities & Duties • Manage client onboarding processes, including account setup and regulatory classifications. • Oversee trade booking, allocation, and confirmation for various financial products. • Investigate and resolve settlement discrepancies and unmatched trades. • Perform daily position reconciliations to ensure accurate trade processing. • Complete TRACE reporting for fixed income products in compliance with regulations. • Support system changes through JIRA ticket tracking and testing. • Respond promptly to client inquiries, providing high-quality lifecycle support. • Ensure adherence to operational procedures and governance standards. • Lead cross-functional initiatives to improve operational processes. Broker Dealer Operations Manager Job Requirements • Bachelor’s degree in Finance, Business, or related discipline required. • Minimum of 8 years of experience in Operations or Trade Support within financial markets. • Series 7 or SIE & Series 99 licenses are mandatory. • Proficiency with FINRA TRAQS, DTCC ALERT, CTM, and Microsoft Office preferred. • Strong understanding of global market settlement processes and client trade support functions. • Excellent analytical, organizational, and problem-solving skills. • Ability to manage multiple priorities in a fast-paced environment. • Demonstrated ability to work independently and collaboratively as part of a team. • Fluency in written and spoken English is essential.