Financial Operations Manager
remxDenver, CO
Financial Operations Manager
L5
remxDenver, COyesterday
Occupations
Financial ManagersFinancial Specialists, All OtherSecurities, Commodities, and Financial Services Sales AgentsIndustries
Miscellaneous IntermediationInvestment Banking and Securities IntermediationMiscellaneous Financial Investment ActivitiesFinancial Operations Manager - REMOTE ROLE!A well-established independent broker-dealer is seeking a Financial Operations Manager to oversee daily back-office and middle-office operations.
Key Responsibilities:
- Manage new accounts, AML/KYC, licensing and registrations
- Oversee ACATS, DWAC, wires, securities transfers, and account maintenance
- Supervise operational processes and client account servicing
- Support compliance reviews, audits, and regulatory examinations
- Partner with Compliance, Legal, Trading, and Finance teams
Qualifications:
- 7+ years of broker-dealer operations experience
- Active FINRA Series 24 license required
- Strong knowledge of broker-dealer regulations
- Experience with fixed income, equities, options, and Rule 144 transactions
Benefits: Medical, Dental, Vision, and 401(k)
Salary:
Depending on Experience/Competitive with market (110-175K, NEG+ bonus/benefits). Apply today - fully remote!
Apply now
Level
SeniorL5
Location
Denver, CO
Occupation
Financial Managers
Industry
Miscellaneous Intermediation
Posted
yesterday
To get sharper similar jobs, create your profile using the link below.