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Job description
About the Role
We are seeking a senior Director / Executive Director of Operations to lead the U.S. Broker‑Dealer Operations function. This role is based in Miami , reports directly to the Chief Operating Officer , and will be responsible for overseeing daily operations, leading a cross‑regional team, supporting business growth, and maintaining a strong operational control environment.
The ideal candidate has deep experience in U.S. broker‑dealer operations, including at least 5 years of self‑clearing experience , strong regulatory knowledge, and the ability to operate effectively with senior stakeholders across Wealth Management, Retail, Compliance, Finance, Technology, Risk, and external clearing partners.
Key Responsibilities
Lead and manage an Operations team across Miami, Rio de Janeiro, and São Paulo, ensuring strong execution, accountability, and service standards.
Oversee daily operational routines, including trade support, settlement, cash movements, transfers, reconciliations, corporate actions, billing, exception management, and issue resolution.
Conduct regular team meetings, one‑on‑ones, feedback sessions, and performance discussions to support employee development and career progression.
Serve as a senior escalation point for operational issues, client‑impacting matters, breaks, and cross‑functional dependencies.
Support Wealth Management and Retail businesses by implementing new products, services, platforms, and operational workflows.
Translate business requirements into operational procedures, controls, project specifications, and technology enhancement requests.
Identify and lead initiatives that improve efficiency, reduce manual processes, strengthen controls, and create operational leverage.
Act as a key point of contact with clearing firms, including Pershing and Drive Wealth, as well as custodians, transfer agents, vendors, and other operational partners.
Apply self‑clearing expertise across trade lifecycle, custody, books and records, reconciliations, regulatory reporting, and clearing‑related controls.
Partner with Compliance, Legal, Risk, Finance, Technology, and senior management to support audits, regulatory reviews, control enhancements, and strategic initiatives.
Qualifications
Minimum of 5 years of self‑clearing broker‑dealer operations experience required.
Strong knowledge of U.S. broker‑dealer operations, including clearing, custody, settlement, reconciliations, transfers, cash movements, corporate actions, and operational controls.
Prior experience in a senior operations leadership role within a broker‑dealer, clearing broker, custodian, or financial services platform.
Experience supporting Wealth Management, Retail Brokerage, Digital Brokerage, or similar businesses preferred.
Proven ability to manage teams across multiple locations and partner with senior business, technology, compliance, and vendor stakeholders.
Strong understanding of operational risk, supervisory controls, regulatory obligations, and broker‑dealer infrastructure.
Excellent communication, leadership, analytical, and problem‑solving skills.
Ability to operate in a fast‑paced, evolving, and growth‑oriented environment.
Licenses
FINRA Series 24 required.
FINRA Series 27 required.
Location & Compensation
Location: Miami, Florida
Reporting Line: Chief Operating Officer
Expected Salary Range: USD 150,000 – USD 200,000, depending on experience, qualifications, licenses, and seniority.
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Worksite address
miami, FL, 33222, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.