Operations Supervisor - Broker Dealer
Hybrid · Miami, Florida, United States
Job Summary
Operations Supervisor - Broker Dealer leads end-to-end custody operations, including settlements, margin controls, FX, derivatives (listed and OTC), and related activities. Oversees the trade lifecycle from execution to settlement, ensures accuracy and proper booking across systems, resolves unmatched/failed trades, and reviews broker statements and payments. Ensures AML/BSA compliance and internal governance, and escalates risks as needed. Drives process innovation and automation to reduce manual processing; redesigns workflows for complex structures; establishes KPIs and reporting to measure efficiency and control. Operates within a hybrid Miami/global hub model, partnering with Trading, Treasury, Technology, Compliance, and external counterparties; supervises the custody team and conveys risks and initiatives to senior management. Requires Bachelor’s degree and Series 99 or 7 license, 5+ years in custody or securities operations, and supervisory experience; strong knowledge of securities, derivatives, and settlement processes; and advanced Excel/data analysis skills.
Required Qualifications
- Bachelor’s degree required
- Series 99 or 7 License
- Minimum 5+ years of experience in custody, securities operations, or similar environment
- Previous Supervisory experience
- Strong knowledge of securities, derivatives, and settlement processes
- Advanced Excel and data analysis skills
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