The Horizon Group
Broker Dealer Operations Manager
- Advance and implement strategies to enhance existing processes and reduce manual procedures.
- Manage and maintain relationship with brokers, counterparties and exchanges.
- Analyze, in partnership with compliance, if current operational procedures and New Business Initiatives are compliant with regulatory requirements.
- Define project requirements. Coordinate testing and implementation of system enhancements.
- Act to ensure that processes are constantly scrutinized, risk is mitigated, and results are timely, high quality and cost effectively.
- Play a leading role in long-term planning, including an initiative geared toward operational excellence.
- Benchmarking MI / Trend analysis should show measurable improvement.
- Managing and meeting both internal and external customer expectations.
- Provide assistance to internal or external auditors in compliance reviews.
Required Skills and experience:
- Bachelor’s degree or equivalent.
- 5+ years working in Operations at an investment bank or financial firm.
- Excellent communication skills in English, both in speaking and writing. Fluent Spanish is a plus.
- Project Management experience and ability to collaborate across Functions (Operations, Trading and Compliance).
- Ability to work effectively and efficiently with a focus on controls, details and accuracy.
- Excellent computer skills and proficiency in excel, word, outlook, and PowerPoint.
- Ability to challenge and debate issues of importance to the organization.
- Highly organized, flexible, and able to prioritize multiple projects and tasks.
- Strong knowledge of trade and post-trading processes (Equities and Fixed Income) across all global local markets, including Euroclear and DTC.
- Knowledge of Equities and Fixed Income trading systems Fidessa and Bloomberg TOMS mandatory. Additional systems are a plus.
- Previous experience in directly dealing with regulators SEC and FINRA.
- Series 27 certification mandatory.
- Ability to work unsupervised, in a rapidly changing environment.