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 goes beyond mere oversight and requires a leader who can navigate operational complexity, drive transformation, and build scalable solutions within our operating model.

Key areas of responsibility

The environment involves high operational complexity, various systems, and a hybrid operating model across multiple locations. The selected candidate must be comfortable working within this structure and motivated to optimize, improve, and further develop it.

• Oversight of end-to-end custody operations, including settlement, margin controls, foreign exchange, derivatives (exchange-traded 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 trade discrepancies and failed trades, including complex trade adjustments
• Review of broker contracts, 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

• Leading initiatives 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 key performance indicators and reporting systems to monitor efficiency, quality, and processing times
• Driving measurable improvements in the control environment and operational performance

Strategic Development and Transformation

• 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., market corrections, system fragmentation) through practical and controlled solutions
• Supporting and leading transformation initiatives, including system improvements and process standardization
• Leadership as a change agent to ensure the implementation of new processes and the continuous improvement of the business model

Operating Model and Global Coordination

• Working effectively within and optimizing a hybrid Miami/global hub model to ensure alignment and efficiency across teams
• Collaborating with global teams to streamline processes and improve coordination despite structural complexity

Government, Risk, and Control