Operations Manager

Operations Manager – Broker Dealer (Wall Street)

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A well-established, growing broker-dealer & RIA platform in NYC is seeking an experienced Operations Manager to lead and support a team of 7 professionals within its core operations group.

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This role reports directly to the COO and will play a key leadership role in maintaining operational excellence across the firm’s clearing relationships and regulatory framework.

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What You’ll Own:

• Lead day-to-day broker-dealer operations across account opening, maintenance, transfers, and distributions
• Oversee and mentor a team of 7–8 operations professionals
• Ensure regulatory compliance across transactions and documentation (FINRA/SEC environment)
• Support compliance surveillance and coordinate external audits/examinations
• Interface directly with clearing partners (Pershing & RBC)
• Improve processes, enhance controls, and support firm-wide growth initiatives

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Ideal Background:

• 5–12+ years in broker-dealer operations
• Prior team leadership or supervisory experience
• Strong understanding of FINRA / SEC regulatory framework
• Hands-on mindset, comfortable operating both strategically and tactically
• Excel proficiency and operational systems experience
• Bachelor’s degree required
• No licenses required for entry (opportunity to obtain SIE, 7, 63, 24 if desired).

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Why Consider This Role?

• Established, profitable platform
• Direct exposure to executive leadership
• Team leadership without enterprise bureaucracy
• Growth-oriented firm with long-term upside
• High-impact role within a stable infrastructure

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If you are currently leading or senior within broker-dealer operations and looking for a platform where you can step into broader ownership without joining a large bank, please apply!