Broker Dealer Operations Manager

ResponsibilitiesManage daily broker-dealer operations, including trade processing and settlement.Ensure efficiency and regulatory compliance by updating operational procedures.Oversee system workflows, staff performance, and regulatory documentation.Stay informed on regulatory changes and adjust procedures accordingly.Address operational issues and client...

ResponsibilitiesManage daily broker-dealer operations, including trade processing and settlement.Ensure efficiency and regulatory compliance by updating operational procedures.Oversee system workflows, staff performance, and regulatory documentation.Stay informed on regulatory changes and adjust procedures accordingly.Address operational issues and client...

We are seeking a Regulatory Compliance Specialist with experience from a broker-dealer to join our client's team. This role requires fluency in English and Spanish, and FINRA licensing is a plus.ResponsibilitiesLiaise with all relevant departments to ascertain current compliance levels.Provide training and education to team members regarding regulatory...

We are seeking a Regulatory Compliance Specialist with experience from a broker-dealer to join our client's team. This role requires fluency in English and Spanish, and FINRA licensing is a plus.ResponsibilitiesLiaise with all relevant departments to ascertain current compliance levels.Provide training and education to team members regarding regulatory...

Our client is building out a new team, they are seeking an Operations Manager to work onsite and be responsible for managing operational activities, improving workflows, and maintaining compliance with industry regulations within this Broker-DealerKey Responsibilities:Oversee daily operational activities, ensuring efficient processes and timely...

Our client is building out a new team, they are seeking an Operations Manager to work onsite and be responsible for managing operational activities, improving workflows, and maintaining compliance with industry regulations within this Broker-DealerKey Responsibilities:Oversee daily operational activities, ensuring efficient processes and timely...

Our client is building out a new team, they are seeking an Operations Manager to work onsite and be responsible for managing operational activities, improving workflows, and maintaining compliance with industry regulations within this Broker-DealerKey Responsibilities:Oversee daily operational activities, ensuring efficient processes and timely...

Sabadell OverviewSabadell is a global financial institution headquartered in Barcelona, Spain and one of Europe’s oldest and most successful banking groups since its founding in 1881. Sabadell covers all areas of the financial business sector under a common denominator: professional performance and quality. In the United States, Sabadell has operated with...

Sabadell OverviewSabadell is a global financial institution headquartered in Barcelona, Spain and one of Europe’s oldest and most successful banking groups since its founding in 1881. Sabadell covers all areas of the financial business sector under a common denominator: professional performance and quality. In the United States, Sabadell has operated with...

Sabadell OverviewSabadell is a global financial institution headquartered in Barcelona, Spain and one of Europe’s oldest and most successful banking groups since its founding in 1881. Sabadell covers all areas of the financial business sector under a common denominator: professional performance and quality. In the United States, Sabadell has operated with...

The Sales Supervisor has the overall responsibility for providing day to day supervision and guidance to the assigned Advisors and/or Brokers. Provides guidance and support to the sales process and resolves any issues with clients by working closely with Senior Relationship Management team.JOB RESPONSIBILITIES/MAIN FUNCTIONSResponsible for the day-to-day...

The Sales Supervisor has the overall responsibility for providing day to day supervision and guidance to the assigned Advisors and/or Brokers. Provides guidance and support to the sales process and resolves any issues with clients by working closely with Senior Relationship Management team.JOB RESPONSIBILITIES/MAIN FUNCTIONSResponsible for the day-to-day...

Job DescriptionJob DescriptionSince our founding in 2012, Lotlinx has consistently pioneered advancements in the automotive landscape. We specialize in empowering automobile dealers and manufacturers by providing cutting-edge data and technology, delivering a distinct market advantage for every single vehicle transaction. Today, we stand as the foremost...

Job Title: Broker-Dealer Operations Specialist**Job Summary:**LAFISE Securities LLC, a leading introducing broker dealer in the financial industry, is seeking a highly skilled Operations Specialist to join our team. As a key member of our operations department, you will be responsible for ensuring the efficient execution of daily operational tasks, providing...

Operations AnalystCreand Wealth Management is looking for an experienced Operations Analyst for our Brickell office. As a member of the Operations Department, you will support the Operations Manager to provide best-in-class service to both Broker Dealer and Registered Investment Advisory clients. You will have the opportunity to develop your own skill set...

Job Title: Broker-Dealer Operations SpecialistJob Summary: LAFISE Securities LLC , an introducing broker dealer in Miami, is seeking for an Operations Specialist responsible for daily operational tasks, sales support, project management, and ensuring efficient operations management.Responsibilities:Trade Processing:Oversee the confirmation and settlement of...

Job Title: Broker-Dealer Operations SpecialistJob Summary: LAFISE Securities LLC , an introducing broker dealer in Miami, is seeking for an Operations Specialist responsible for daily operational tasks, sales support, project management, and ensuring efficient operations management.Responsibilities:Trade Processing:Oversee the confirmation and settlement of...

Job Title: Broker-Dealer Operations SpecialistJob Summary: LAFISE Securities LLC , an introducing broker dealer in Miami, is seeking for an Operations Specialist responsible for daily operational tasks, sales support, project management, and ensuring efficient operations management.Responsibilities:Trade Processing:Oversee the confirmation and settlement of...

Job Title: Broker-Dealer Operations SpecialistJob Summary: LAFISE Securities LLC , an introducing broker dealer in Miami, is seeking for an Operations Specialist responsible for daily operational tasks, sales support, project management, and ensuring efficient operations management.Responsibilities:Trade Processing:Oversee the confirmation and settlement of...

Job Title: Broker-Dealer Operations SpecialistJob Summary: LAFISE Securities LLC , an introducing broker dealer in Miami, is seeking for an Operations Specialist responsible for daily operational tasks, sales support, project management, and ensuring efficient operations management.Responsibilities:Trade Processing:Oversee the confirmation and settlement of...