Position Details

Type Full-Time

Experience senior

Exp. Years 5+ years

Education Bachelor's degree or equivalent experience

Category Executive & General Management

About this role

Senior leadership role overseeing a high-risk brokerage operations team with regulatory and cross-location responsibilities.

Key Responsibilities

Responsible for overall performance of a high risk, complex team
Manage up to 15 associates
Ensure regulatory compliance and supervisory procedures
Lead systems development and process improvements
Collaborate with vendors and auditors

Technical Overview

Expertise in brokerage operations, licensing (SIE/Series 7/99), risk controls, and cross-border governance; must influence technology initiatives and operate in a complex regulatory environment.

Ideal Candidate

The ideal candidate is an experienced financial services leader with 5+ years, licensed (SIE/Series 7/99) within required windows, capable of managing a high-risk brokerage operations team across locations.

Must-Have Skills

Bachelor's degree or equivalent experienceSIE and Series 99 within 120 daysSeries 7 within 12 months5+ years financial services experience3+ years management experience

Nice-to-Have Skills

experience in US and Canada brokerage operationsauditing and controls

Tools & Platforms

brokerage operations systemsMicrosoft Office

Required Skills

high risk managementcomplex team leadershipregulatory complianceUS and Canada brokerage operationsrisk mitigationprocess improvementstakeholder collaborationleadershipdata-driven decision making

Hard Skills

high risk managementcomplex team leadershipregulatory complianceUS and Canada brokerage operationsrisk mitigationprocess improvementstakeholder collaborationcommunicationleadershipdata-driven decision making

Soft Skills

leadershipstrategic thinkingproblem solvingcollaborationdecision making

Certifications

Required

SIESeries 99Series 7

Industry & Role

Industry Financial Services

Job Function Lead a high-risk brokerage operations team ensuring compliance and performance across locations

Role Subtype team leader

Keywords for Your Resume

Sr Team LeaderEdward Joneshigh riskcomplex teamKPIrisk mitigationcompliancesupervisory proceduresSeries 7Series 99SIEbrokerage operationsleadershipmulti-locationoffice presenceregulatory proceduresteam management

Deal Breakers

no Series 7 within 12 months, no SIE/Series 99 within 120 days, lack of 5+ years financial services leadership

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