Head of Operations Manager

4 weeks ago


Minneapolis, Minnesota, United States Piper Sandler Companies Full time
Job Title: Head of Operations

Piper Sandler Companies is seeking a highly skilled and experienced Head of Operations to lead our operations functions and drive business growth. As a key member of our leadership team, you will be responsible for developing and implementing strategic operational priorities that align with our company's vision and mission.

Responsibilities:
  • Develop and implement strategic plans to improve processes, drive operational efficiency, and achieve organizational objectives.
  • Establish and measure key operating and service commitment metrics to assess and drive the performance of Operations.
  • Monitor and address the internal and external environment for any legal or regulatory impact on functions within the outlined areas of accountability.
  • Manage a team of 25 operations professionals across several geographic locations, encouraging and facilitating opportunities for professional growth and development.
  • Provide clear direction to team members and inspire and motivate the team towards common goals.
  • Develop and manage budgets, forecasts, and projections to achieve targets and maximize effectiveness.
  • Manage internal and external audits, provide support for internal operating committee, maintain supervisory procedures, and conduct SOX reviews.
  • Handle system reviews, escalations, and exceptions to resolve issues promptly and minimize disruptions.
  • Maintain and negotiate client agreements to align with strategic objectives and leverage industry best practices.
  • Manage key relationships with outside vendors, including contract negotiations, compliance, performance evaluation, and escalations.
  • Handle records management across the business, identifying opportunities for improvement of related policies and procedures, and staying up to date with new industry regulatory requirements.
  • Direct the integration of new systems and products to ensure successful integration and effectiveness.
Qualifications:
  • 10 years of experience in self-clearing brokerage operations, including demonstrated management and leadership experience.
  • Bachelor's or other higher degree in a related field preferred.
  • Extensive knowledge of securities industry rules and regulations, including but not limited to FINRA and the SEC.
  • Demonstrate the sound judgment required to effectively and appropriately manage risk.
  • Excellent written and verbal communication skills, with the ability to articulate complex concepts and ideas to a diverse audience.
  • Ability to build a strategy around a vision and execute directing resources from across multiple teams.
  • Seasoned background in clearing operations systems and managing risk and business controls.
  • Understanding of general accounting principles and business law.
  • FINRA Series 7 and 24 required; must hold the FINRA Series 27 FINOP License or be willing to obtain within 120 days.

Piper Sandler Companies values a strong culture dedicated to the emotional and physical well-being of our employees. We are an equal opportunity employer and welcome applications from diverse candidates. Learn more about our commitment to our employees' health and well-being and our benefits program.



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