Head of Broker-Dealer Operations

Full Time



Principal Accountabilities:

  • Monitor all Operations Personal Processing
  • Contact for all Security processing systems ( Phase 3 ,BONY, DTC, etc.)
  • Overall monitoring of accounts positions / holdings
  • Project Management
  • Bank / Suspense Statement Reconciliation

Knowledge/Education Requirements:

  • 10 to 15 years’ experience in varied operational roles in the securities industry.
  • A significant number of years must be in a supervisory or managerial capacity with a demonstrated track record.
  • A thorough knowledge of the U.S. and international securities markets is required (European markets is preferred).
  • Strong written and verbal communication skills are required to manage the Operations Department.
  • The job will require strong managerial skills to delegate and control transaction flow within the Department.  The position will function as a chief control point in the department.
  • Requires licenses: Series 27 and 99
  • Bachelor’s Degree Required, Masters Preferred
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