Trade Operations Manager - Broker Dealer

Key Responsibilities: Broker-Dealer Operations: Oversee daily operational activities, including account opening, account maintenance, transfers, trade support, documentation, and transaction processing. Regulatory Compliance: Support compliance with FINRA, SEC, and applicable state regulations, as well as internal policies and supervisory procedures. Supervision: Apply appropriate supervisory controls and escalate potential compliance issues, exceptions, and operational risks in accordance with established procedures. Advisor & Client Support: Serve as a key point of contact for financial advisors and clients, resolving operational issues efficiently and professionally. Process Improvement: Identify opportunities to streamline workflows, improve accuracy, strengthen controls, and enhance the overall client and advisor experience. Team Leadership: Coordinate daily priorities, manage workflows, and help ensure the operations team meets service standards and deadlines. Documentation & Reporting: Maintain accurate records, monitor outstanding items, and assist with operational reporting, audits, and regulatory reviews. Cross-Functional Collaboration: Work closely with compliance, trading, finance, technology, and other internal teams to support business objectives. Bilingual Communication: Provide professional support in both English and Spanish to advisors, clients, and business partners as needed.

Required Qualifications: Active FINRA Series 7 and Series 24 licenses in good standing. Fluency in both English and Spanish, with strong verbal and written communication skills in both languages. Prior experience in broker-dealer operations, financial services, or a registered investment firm. Solid understanding of brokerage operations, account administration, trade processing, and regulatory requirements. Strong organizational, analytical, and problem-solving skills. Excellent attention to detail and the ability to manage multiple priorities in a fast-paced environment. Professional judgment, discretion, and a strong commitment to confidentiality and regulatory integrity. Proficiency in Microsoft Office and financial services operational systems.