- Oversee all aspects of broker-dealer operations, ensuring the accurate and timely execution of operational activities.
- Manage the end-to-end lifecycle of client accounts, transactions, asset movements, and account maintenance processes.
- Develop and enhance operational policies, procedures, and controls to support business objectives.
- Establish scalable operational frameworks to accommodate growth and evolving business needs.
- Serve as the primary point of contact for external service providers, custodians, clearing firms, and banking partners.
- Monitor vendor performance and ensure service levels meet business and regulatory requirements.
- Coordinate operational initiatives and issue resolution with external stakeholders.
Risk, Controls & Regulatory Support
- Maintain a strong control environment designed to mitigate operational risk.
- Ensure adherence to applicable regulatory requirements and internal policies.
- Support regulatory examinations, audits, testing activities, and information requests.
- Oversee recordkeeping practices and operational documentation to ensure compliance standards are met.
- Identify operational vulnerabilities and implement corrective actions where necessary.
Process Improvement & Reporting
- Lead initiatives focused on process optimization, automation, and operational efficiency.
- Develop key operational metrics and reporting for management review.
- Analyse workflows and identify opportunities to improve service delivery and reduce operational risk.
- Support system enhancements and ongoing operational projects.
Cross-Functional Collaboration
- Partner closely with Compliance, Finance, Technology, and business development teams.
- Support account onboarding activities and ensure a seamless client experience.
- Provide operational expertise on strategic initiatives and business growth opportunities.
- Act as a resource and mentor for operations team members as the function expands.
Head of Broker Dealer Operations • Miami, GB
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Head Of Broker Dealer Operations in Grays employer: Page Executive
At Page Executive, we pride ourselves on being an excellent employer that fosters a dynamic and inclusive work culture. Our hybrid role allows for flexibility while ensuring collaboration with a talented team dedicated to driving growth in the professional services sector. We offer robust employee growth opportunities, competitive benefits, and a chance to make a significant impact by shaping marketing strategies that connect directly to revenue.
