Director - HTK Operations
$145,000–$165,000 year
RemoteUnited States
Job Summary
Lead broker-dealer and RIA back-office operations, managing account onboarding, trading support, cashiering, disbursements, suitability reviews, and field advisor support. Establish operational standards, SLAs, and KPIs while overseeing supervisory functions for new account review in partnership with Compliance. Drive regulatory oversight and exam readiness, ensuring adherence to FINRA, SEC, and MSRB obligations. Collaborate with vendors like Pershing and DTCC to improve integrations, data quality, and system performance. Lead the implementation of Docupace as the new account workflow and records tool. Coach team members and close procedural gaps to implement scalable processes in a regulated environment. Utilize data analytics to drive decision-making and surface operational risks proactively.
Required Qualifications
- Deep expertise in broker-dealer operations and regulatory frameworks (FINRA, SEC, MSRB)
- Proven success leading operational transformation and technology modernization
- Strong strategic thinking, problem solving, communication, and stakeholder management skills
- Strategic, data-driven decision-maker with strong risk awareness
- Comfortable navigating ambiguity, driving change, and fostering innovation
- Excellent communication skills with ability to translate complex issues into clear insights
- Demonstrated ability to build and lead high-performing teams
- Bachelor's Degree
- FINA Registrations: Series 65 and 24
- 10+ years leading teams and driving cross-functional initiatives
- 10+ years in life insurance, annuities, or financial services with a focus on agile delivery and digital transformation
Desired Qualifications
- Series 27
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