FINRA Licensed Operations Director
Job Summary
To shape the strategic direction of operational frameworks, the full-time FINRA Licensed Operations Director will manage broker-dealer and RIA back-office functions, including account onboarding, compliance oversight, and team development, while working remotely.
Key responsibilities:
- Oversee broker-dealer and RIA back-office operations, ensuring compliance with regulatory obligations
- Establish operational standards, SLAs, KPIs, and lead regulatory exam readiness initiatives
- Collaborate with technology and vendor partners to enhance operational processes and data quality
Required qualifications:
- Bachelor's Degree required
- Series 65 and 24 registrations required; Series 27 preferred
- 10+ years of experience in financial services, with a focus on operational leadership and digital transformation
- Deep expertise in broker-dealer operations and regulatory frameworks (FINRA, SEC, MSRB)
- Proven track record of leading cross-functional initiatives and building high-performing teams
Complete Job Description
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