Related skills
product development financial reporting finra series 7 corporate actions securities📋 Description
- Lead the Broker-Dealer Operations team and oversee financial/operational duties.
- Design systems for corporate actions, controls, and net capital monitoring.
- Maintain partner relationships with banks and securities servicing vendors.
- Collaborate with Legal/Compliance to structure products and address issues.
- Work with Product and Engineering to implement new processes.
- Ensure regulatory compliance and accurate financial reporting for the broker-dealer.
🎯 Requirements
- 5+ years of management experience in an operations team
- Experience in financial services operations and securities products
- FINRA Series 7/24/27, or ability to obtain quickly
- Excellent written and verbal communication skills
- Nice to have FinTech exposure or audit/regulator experience
- Bachelor’s degree preferred
🎁 Benefits
- Competitive equity package and medical/dental/vision benefits
- Life and AD&D, STD/LTD insurance
- EAP, commuter and parking benefits, FSA/HSA
- 401(k) with employer match
- Flexible PTO policy
- Bonus potential and other incentives
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