Financial Operations Manager - REMOTE ROLE!Check all associated application documentation thoroughly before clicking on the apply button at the bottom of this description. 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). xhqgsiq Apply today - fully remote!
