The Horizon Group
September 23, 2014
Job Type


Broker Dealer Operations Manager


Job Description:

  • 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.


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