Financial Operations Manager

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!