Broker Dealer Operations Manager

Job Description:

• Advance and implement strategies to enhance existing processes and reduce manual procedures.
• Manage and maintain relationship with brokers, counterparties and exchanges.
• Analyze, in partnership with compliance, if current operational procedures and New Business Initiatives are compliant with regulatory requirements.
• Define project requirements. Coordinate testing and implementation of system enhancements.
• Act to ensure that processes are constantly scrutinized, risk is mitigated, and results are timely, high quality and cost effectively.
• Play a leading role in long-term planning, including an initiative geared toward operational excellence.
• Benchmarking MI / Trend analysis should show measurable improvement.
• Managing and meeting both internal and external customer expectations.
• Provide assistance to internal or external auditors in compliance reviews.

Required Skills and experience:

• Bachelor’s degree or equivalent.
• 5+ years working in Operations at an investment bank or financial firm.
• Excellent communication skills in English, both in speaking and writing. Fluent Spanish  is a plus.
• Project Management experience and ability to collaborate across Functions (Operations, Trading and Compliance).
• Ability to work effectively and efficiently with a focus on controls, details and accuracy.
• Excellent computer skills and proficiency in excel, word, outlook, and PowerPoint.
• Ability to challenge and debate issues of importance to the organization.
• Highly organized, flexible, and able to prioritize multiple projects and tasks.
• Strong knowledge of trade and post-trading processes (Equities and Fixed Income) across all global local markets, including Euroclear and DTC.
• Knowledge of Equities and Fixed Income trading systems Fidessa and Bloomberg TOMS mandatory. Additional systems are a plus.
• Previous experience in directly dealing with regulators SEC and FINRA.
• Series 27 certification mandatory.
• Ability to work unsupervised, in a rapidly changing environment.