remxDenver, CO
Financial Operations Manager
Financial Operations Manager
Financial Operations Manager
remxDenver, CO
today
Financial ManagersFinancial Specialists, All OtherSecurities, Commodities, and Financial Services Sales Agents
Miscellaneous IntermediationInvestment Banking and Securities IntermediationMiscellaneous Financial Investment Activities
Apply for this role →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!
Also on the board Same function, level within a rung
Level
Senior
Location
Denver, CO
Occupation
Financial Managers
Industry
Miscellaneous Intermediation
Posted
today