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FINRA Licensed Operations Manager
A company is looking for a Manager, HTK Operations to oversee the Operations team in processing accounts and trading activities. Key Responsibilities Lead daily operations including new accounts, transfers, and project work Support strategic projects related to operations and ensure efficiency for financial professionals and clients Generate data reports for regulatory exams and maintain vendor relationships Required Qualifications Bachelor's Degree preferred FINRA SIE, Series 99, Series 7, and Series 24 licenses required Minimum of 10+ years of experience in financial services, specifically in broker/dealer operations Experience with regulatory examinations and providing reports to regulatory agencies required Expert knowledge of Pershing NetX360 platforms strongly preferred
A company is looking for a Manager, HTK Operations to oversee the Operations team in processing accounts and trading activities.
Key Responsibilities
Lead daily operations including new accounts, transfers, and project work
Support strategic projects related to operations and ensure efficiency for financial professionals and clients
Generate data reports for regulatory exams and maintain vendor relationships
Required Qualifications
Bachelor's Degree preferred
FINRA SIE, Series 99, Series 7, and Series 24 licenses required
Minimum of 10+ years of experience in financial services, specifically in broker/dealer operations
Experience with regulatory examinations and providing reports to regulatory agencies required
Expert knowledge of Pershing NetX360 platforms strongly preferred