Financial Operations Manager - REMOTE ROLE!
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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
- 5-10+ 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). xzgxqkn Apply today - fully remote!
Financial Operations Manager in united at Unknown Company
This position is listed as full time and able to be worked remotely.