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Leeds Professional Resources · Miami, Florida
We are seeking an experienced, detail-oriented Operations Manager to oversee the day-to-day operations of our broker-dealer business. This individual will play a key role in ensuring operational efficiency, regulatory compliance, and exceptional service to financial advisors, clients, and business partners.
The ideal candidate has a strong understanding of broker-dealer operations, a proactive approach to problem-solving, and the ability to communicate effectively in both English and Spanish. Active FINRA Series 7 and Series 24 licenses are required.
Key
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
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.
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.
Details
| Company | Leeds Professional Resources |
| Location | Miami, Florida |
| Type | FULL TIME |
| Niche | Managers |