Back
Common operations title, mid-level experience band, and metro location drive high candidate density despite niche FINRA needs.
Requires specific financial operations experience and FINRA licenses, limiting cross-industry transferability.
Mandatory 5+ years, clearing operations experience and FINRA (SIE/Series 99) licensing create highly strict filters.
Login to See Your Match Score
Create a free account or log in to unlock your CV match score across:
Lead and manage a team of 15-20 in brokerage Clearing Operations and/or Client Facing Operations focusing on daily work queue management, operational performance, and root cause problem-solving to reduce errors.
Establish and maintain quality assurance standards and controls to ensure regulatory compliance and operational excellence.
Partner with onshore teams to support work transition, process alignment, and knowledge transfer while executing Lean Management practices for continuous improvement.
5+ years in financial services operations with exposure to clearing and client facing operations.
Proven people management experience in high-volume, deadline-driven environments.
Operational risk management experience including risk identification, assessment, and mitigation.
SIE and Series 99 licenses required or willingness to obtain.
Experienced in managing and developing teams within financial or wealth management sectors under fast-paced conditions.
Demonstrates strong leadership with ability to coach and mentor, coupled with a proactive, problem-solving approach to operations.
Able to work flexible shifts including U.S. business hours for seamless collaboration across global teams.