Operations Supervisor - Broker-Dealer

Job Details

The Operations Supervisor – Broker-Dealer position holds full responsibility for day-to-day operations, controls, and strategic execution. This role requires a leader who can navigate operational complexity, drive transformation, and build scalable solutions within our operating model.

Tasks

The tasks include:

• Oversight of end-to-end custody operations, including settlement, margin controls, foreign exchange, derivatives (listed and OTC), and related activities
• Monitoring the trade lifecycle from execution through settlement to ensure accuracy, timeliness, and proper recording in the systems
• Monitoring and resolving inappropriate and failed trades, including complex trade adjustments
• Review of broker statements, commissions, and payments
• Ensuring compliance with regulatory reporting requirements and internal policies
• Early reporting of operational risks, deviations, and unusual activities

Process Innovation and Efficiency

The tasks include:

• Initiating measures to reduce manual processing and reliance on multiple systems, spreadsheets, and workarounds
• Identification and implementation of automation opportunities and process simplification strategies
• Redesigning workflows to address operational inefficiencies, particularly in complex account structures (e.g., COD) and settlement processes
• Establishment of KPIs and reporting systems to track efficiency, quality, and processing times
• Driving measurable improvements in the control environment and operational performance

Strategic Development and Transformation

The tasks include:

• Taking responsibility for establishing and improving processes within a complex and evolving operating model
• Development and implementation of scalable workflows, controls, and procedures where gaps exist
• Addressing structural challenges in the current infrastructure (e.g., trade settlements, fragmentation of settlement systems) through practical and controlled solutions
• Supporting and leading transformation initiatives, including system improvements and process standardization
• Acting as a change leader to ensure the implementation of new processes and the continuous evolution of the operating model

Requirements

The requirements include:

• Academic degree (bachelor's or master's)
• Series 99 or 7 license
• At least 5 years of experience in custody, securities settlement, or a similar environment
• Previous experience as a supervisor
• Extensive knowledge of securities, derivatives, and settlement processes
• Advanced Excel and data analysis skills

Key competencies

The key competencies include:

• You see opportunities in complex