Operations Supervisor - Broker-Dealer

Job Description

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.

Focus areas of work

- Oversight of end-to-end custody operations, including settlements, margin controls, FX, derivatives (listed and OTC), and related activities - Monitoring the trade lifecycle from execution to settlement to ensure accuracy, timeliness, and proper booking across systems - Monitoring and resolving trade discrepancies and failed trades, including complex trade adjustments - Reviewing broker agreements, commissions, and payments - Ensuring compliance with regulatory reporting requirements and internal policies - Escalating operational risks, variances, and unusual activities in a timely manner

Process Innovation and Efficiency

- Leading initiatives to reduce manual processing and reliance on multiple systems, spreadsheets, and workarounds - Identifying and implementing automation opportunities and process simplification strategies - Redesigning workflows to address operational inefficiencies, particularly in complex account structures (e.g., COD) and settlement processes - Establishing KPIs and reporting mechanisms 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 - Designing and implementing scalable workflows, controls, and procedures where gaps currently exist - Addressing structural challenges in the current setup (e.g., trade adjustments, settlement system fragmentation) through practical and controlled solutions - Supporting and leading transformation initiatives, including system improvements and process standardization - Serving as a change leader to ensure the implementation of new processes and the continuous evolution of the operating model

Operating Model and Global Coordination

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

Government, Risk, and Control

- Establishing and monitoring key risk indicators (KRIs) and early warning signals - Ensuring a robust audit trail, documentation, and compliance with internal controls - Maintaining and improving policies and procedures to adapt them to evolving processes - Ensuring compliance with AML/BSA and internal governance standards

Leadership and Team Management

- Overseeing and developing the Custody team to drive accountability and performance - Partnering with Trading, Treasury, Technology, Compliance, and external counterparties - Providing clear and accurate reporting to senior management on risks, issues, and