Director of Operations | Broker Dealer

About the Role

We are seeking a senior Director / Executive Director of Operations to lead the U.S. Broker-Dealer Operations function. This role is based in Miami, reports directly to the Chief Operating Officer, and will be responsible for overseeing daily operations, leading a cross-regional team, supporting business growth, and maintaining a strong operational control environment.

The ideal candidate has deep experience in U.S. broker-dealer operations, including at least 5 years of self-clearing experience, strong regulatory knowledge, and the ability to operate effectively with senior stakeholders across Wealth Management, Retail, Compliance, Finance, Technology, Risk, and external clearing partners.

Key Responsibilities

• Lead and manage an Operations team across Miami, Rio de Janeiro, and São Paulo, ensuring strong execution, accountability, and service standards.


• Oversee daily operational routines, including trade support, settlement, cash movements, transfers, reconciliations, corporate actions, billing, exception management, and issue resolution.


• Conduct regular team meetings, one-on-ones, feedback sessions, and performance discussions to support employee development and career progression.


• Serve as a senior escalation point for operational issues, client-impacting matters, breaks, and cross-functional dependencies.


• Support Wealth Management and Retail businesses by implementing new products, services, platforms, and operational workflows.


• Translate business requirements into operational procedures, controls, project specifications, and technology enhancement requests.


• Identify and lead initiatives that improve efficiency, reduce manual processes, strengthen controls, and create operational leverage.


• Act as a key point of contact with clearing firms, including Pershing and Drive Wealth, as well as custodians, transfer agents, vendors, and other operational partners.


• Apply self-clearing expertise across trade lifecycle, custody, books and records, reconciliations, regulatory reporting, and clearing-related controls.


• Partner with Compliance, Legal, Risk, Finance, Technology, and senior management to support audits, regulatory reviews, control enhancements, and strategic initiatives.

Qualifications

• Minimum of 5 years of self-clearing broker-dealer operations experience required.


• Strong knowledge of U.S. broker-dealer operations, including clearing, custody, settlement, reconciliations, transfers, cash movements, corporate actions, and operational controls.


• Prior experience in a senior operations leadership role within a broker-dealer, clearing broker, custodian, or financial services platform.


• Experience supporting Wealth Management, Retail Brokerage, Digital Brokerage, or similar businesses preferred.


• Proven ability to manage teams across multiple locations and partner with senior business, technology, compliance, and vendor stakeholders.


• Strong understanding of operational risk, supervisory controls, regulatory obligations, and broker-dealer infrastructure.


• Excellent communication, leadership, analytical, and problem-solving skills.


• Ability to operate in a fast-paced, evolving, and growth-oriented environment.

Licenses

• FINRA Series 24 required.


• FINRA Series 27 required.

Location & Compensation

• Location: Miami, Florida


• Reporting Line: Chief Operating Officer


• Expected Salary Range: USD 150,000 – USD 200,000, depending on experience, qualifications, licenses, and seniority.

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