Operations Manager

Role Description: The Operations Manager is a key leadership role responsible for overseeing and continuously enhancing the operational infrastructure of the broker-dealer. This individual will manage the end-to-end operational lifecycle supporting client accounts, cash movements, securities transactions, account maintenance, vendor management, and regulatory recordkeeping. The role serves as the primary liaison between the firm, its clearing broker, custodians, banking partners, and third-party service providers, ensuring operational processes are executed accurately, efficiently, and in accordance with regulatory requirements.   The Operations Manager will be expected to establish and maintain a strong control environment, identify operational risks, implement mitigating controls, and develop scalable procedures to support business growth. The successful candidate will partner closely with Compliance and Front Office personnel to address operational issues, drive process improvements, support audits and regulatory examinations, and enhance the overall client experience. This position requires a hands-on professional with strong broker-dealer operations expertise, excellent organizational skills, and the ability to manage multiple priorities in a fast-paced and highly regulated environment. Responsibilities Oversee daily broker-dealer operations. Manage relationships with clearing firms and vendors. Ensure timely processing of transactions and client requests. Develop operational procedures and controls. Support audits and regulatory examinations. Coordinate account onboarding and maintenance. Prepare operational reports and metrics. Maintain books and records. Lead process improvement and automation initiatives. Collaborate with Compliance, Finance, and Front Office teams. Qualifications Bachelor degree in Business, Finance, Accounting, or related field. 5+ years of broker-dealer operations experience. Knowledge of securities and fixed income operations and trade lifecycle processes and reporting. Experience with FINRA-regulated entities. Strong analytical, organizational, and communication skills. Spanish and English preferred. FINRA licenses SIE, Series 7, Series 99 and Series 24 or ability to obtain in the first 120 days. Benefits We offer a competitive compensation package together with health, vision, life insurance, short- and long-term disability insurance and a 401(k) plan with company matching contributions.