Series 24 Head of Operations and Client Service

4 days ago

Portsmouth, United States Watchdog Capital, a crypto.com company Full time

We are seeking an experienced securities business professional to join our FINRA-member broker/dealer in order to grow the regulated securities business of Crypto.com. This role will require you to advance the strategic and business objectives of the broker/dealer by overseeing the build of a platform aimed at self-service retail investors. After launch, you will be responsible for overseeing the day-to-day operations of the securities business.


The successful candidate will have equities and options experience, including extensive knowledge related to trading, settlement, clearing and margining of equities, listed options and other financial products, plus experience working with clearing firms as a correspondent broker. FINRA Series 24, 7 and 4 licenses are required, along with a history of supervising registered representatives. This role presents a unique opportunity to help operate a new business line as part of the overall Crypto.com enterprise.


Responsibilities

  • Oversee the operational and technology activities of the securities business to provide customers access to regulated securities products
  • Work closely with operations, technology, risk, legal and compliance teams to complete build and launch of the securities platform
  • Oversee day-to-day operational compliance of the broker/dealer with FINRA regulatory requirements
  • Manage the formation and training of a client service group who will be the face of the firm to our customers, and supervise the sales and marketing functions of the registered reps.
  • Build and maintain strong relationships and be the point of contact for key partners, vendors and stakeholders.
  • Liaise with industry regulatory bodies and ensure all requirements, including daily and monthly reporting is completed.


Requirements and skills

  • Proven experience in a managerial position in the FINRA-regulated securities industry
  • FINRA Series 7, 4 and 24
  • Clean regulatory record with no Disclosure Events.
  • Experience in the operations of a broker/dealer and deep understanding of connectivity to clearing brokers, exchanges, and market infrastructure.
  • Familiarity with diverse business functions such as operations, technology, risk, marketing, sales, finance, etc.
  • In-depth knowledge of regulated securities operations workflows & processes including margin accounts, simple and complex options settlement, exercise and expiration; and the cross-border offering of such products from the US.
  • An entrepreneurial mindset with outstanding organizational, problem solving and operational and technology skills.
  • Excellent communication and public speaking skills.


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