Trade Operations Manager - Broker Dealer

We are seeking an experienced, detail-oriented Operations Manager to oversee the day-to-day operations of our broker-dealer business. This individual will play a key role in ensuring operational efficiency, regulatory compliance, and exceptional service to financial advisors, clients, and business partners.The ideal candidate has a strong understanding of broker-dealer operations, a proactive approach to problem-solving, and the ability to communicate effectively in both English and Spanish. Active FINRA Series 7 and Series 24 licenses are required.Key ResponsibilitiesBroker-Dealer Operations: Oversee daily operational activities, including account opening, account maintenance, transfers, trade support, documentation, and transaction processing.Regulatory Compliance: Support compliance with FINRA, SEC, and applicable state regulations, as well as internal policies and supervisory procedures.Supervision: Apply appropriate supervisory controls and escalate potential compliance issues, exceptions, and operational risks in accordance with established procedures.Advisor & Client Support: Serve as a key point of contact for financial advisors and clients, resolving operational issues efficiently and professionally.Process Improvement: Identify opportunities to streamline workflows, improve accuracy, strengthen controls, and enhance the overall client and advisor experience.Team Leadership: Coordinate daily priorities, manage workflows, and help ensure the operations team meets service standards and deadlines.Documentation & Reporting: Maintain accurate records, monitor outstanding items, and assist with operational reporting, audits, and regulatory reviews.Cross-Functional Collaboration: Work closely with compliance, trading, finance, technology, and other internal teams to support business objectives.Bilingual Communication: Provide professional support in both English and Spanish to advisors, clients, and business partners as needed.Required QualificationsActive FINRA Series 7 and Series 24 licenses in good standing.Fluency in both English and Spanish, with strong verbal and written communication skills in both languages.Prior experience in broker-dealer operations, financial services, or a registered investment firm.Solid understanding of brokerage operations, account administration, trade processing, and regulatory requirements.Strong organizational, analytical, and problem-solving skills.Excellent attention to detail and the ability to manage multiple priorities in a fast-paced environment.Professional judgment, discretion, and a strong commitment to confidentiality and regulatory integrity.Proficiency in Microsoft Office and financial services operational systems.