Senior Manager of Operations Control

Job Summary

A company is looking for a Senior Manager of Operations Control.

Key Responsibilities

• Design, implement, and maintain the Ops Control framework across back-office operations
• Oversee operational reviews and ensure compliance with regulatory requirements
• Conduct thematic reviews to identify control weaknesses and partner with leadership for improvements

Qualifications

• 7+ years of experience in clearing broker-dealer back-office operations or related control functions
• Prior leadership experience in Ops Control or Clearing Operations
• Hands-on knowledge of relevant regulatory rules and practices
• Experience supporting FINRA and SEC examinations
• Ability to operate independently in a fast-paced environment