Financial Operations Manager

remxDenver, COSenior L5

Financial Managers Financial Specialists, All Other Securities, Commodities, and Financial Services Sales Agents

Miscellaneous Intermediation Investment Banking and Securities Intermediation Miscellaneous Financial Investment Activities

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Financial Operations Manager - REMOTE ROLE!A well-established independent broker-dealer is seeking a Financial Operations Manager to oversee daily back-office and middle-office operations.

Key Responsibilities:

Manage new accounts, AML/KYC, licensing and registrations
Oversee ACATS, DWAC, wires, securities transfers, and account maintenance
Supervise operational processes and client account servicing
Support compliance reviews, audits, and regulatory examinations
Partner with Compliance, Legal, Trading, and Finance teams

Qualifications:

7+ years of broker-dealer operations experience
Active FINRA Series 24 license required
Strong knowledge of broker-dealer regulations
Experience with fixed income, equities, options, and Rule 144 transactions

Benefits: Medical, Dental, Vision, and 401(k)

Salary: Depending on Experience/Competitive with market (110-175K, NEG+ bonus/benefits). Apply today - fully remote!

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Level

Senior L5

Location

Denver, CO

Occupation

Financial Managers

Industry

Miscellaneous Intermediation

Posted

6 days ago

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