Operations Manager, Sr

What the role needs

• Oversee daily operational activities and maintain a strong control environment that supports accurate, timely, and compliant securities processing.
• Identify, design, and implement process improvements, automation opportunities, and scalable operating practices that improve efficiency, capacity, quality, and the client experience.
• Develop, coach, and mentor managers and team members; strengthen leadership depth, promote accountability, and support succession and talent development across the organization.
• Establish and monitor key performance, service, risk, and control metrics; analyze trends, address exceptions, and provide clear reporting and recommendations to senior leadership.
• Resolve complex operational issues and escalations requiring sound judgment, independent decision-making, and coordination across multiple departments or external service providers.
• Develop and maintain policies, procedures, business continuity plans, and training materials to support consistent execution, regulatory compliance, and operational readiness.
• Manage staffing, resource allocation, vendor relationships, and applicable budgets for services and initiatives that support Operations and impact multiple departments.
• Promote a culture of collaboration, continuous improvement, strong controls, and high-quality service for internal and external clients.
• Bachelor’s degree in business, finance, accounting, or a related field, or an equivalent combination of education and relevant industry experience.
• Eight or more years of progressive experience in broker-dealer or clearing firm operations, including significant experience leading operational teams, functions, or complex programs.
• Broad knowledge of securities processing, clearing, custody, and the operational control environment supporting a regional or national financial services organization.
• Demonstrated ability to develop and execute strategic and operational plans, translate business objectives into practical operating models, and deliver measurable results.

From the employer

Reporting directly to the Head of Operations, the Senior Operations Manager provides strategic and operational leadership across assigned Clearing Firm Operations functions. This role oversees day-to-day execution, maintains a strong risk and control environment, develops managers and team members, and ensures the accurate, timely, and compliant delivery of operational services. The Senior Operations Manager also leads large, complex, and cross-functional projects and strategic initiatives; partners with business, Compliance, Risk, Technology, Finance, and external service providers; and drives process improvement, automation, scalability, and organizational readiness. Success in this position requires broad clearing operations experience, sound judgment, strong leadership, and the ability to translate business objectives into practical operating models and measurable results. • Provide strategic and operational leadership across assigned Clearing Firm Operations functions, establishing priorities, performance expectations, and service standards aligned with the objectives of the Head of Operations. • Lead large, complex, and cross-functional projects and strategic initiatives from planning through implementation, including defining scope, coordinating resources, managing risks and dependencies, and ensuring timely delivery of sustainable business outcomes. • Oversee daily operational activities and maintain a strong control environment that supports accurate, timely, and compliant securities processing. • Identify, design, and implement process improvements, automation opportunities, and scalable operating practices that improve efficiency, capacity, quality, and the client experience. • Partner with business lines, Compliance, Risk, Technology, Finance, and other stakeholders to evaluate new products, regulatory changes, and business initiatives and define the operational support model, controls, procedures, and implementation requirements. • Develop, coach, and mentor managers and team members; strengthen leadership depth, promote accountability, and support succession and talent development across the organization. • Establish and monitor key performance, service, risk, and control metrics; analyze trends, address exceptions, and provide clear reporting and recommendations to senior leadership. • Resolve complex operational issues and escalations requiring sound judgment, independent decision-making, and coordination across multiple departments or external service providers. • Develop and maintain policies, procedures, business continuity plans, and training materials to support consistent execution, regulatory compliance, and operational readiness. • Manage staffing, resource allocation, vendor relationships, and applicable budgets for services and initiatives that support Operations and impact multiple departments. • Promote a culture of collaboration, continuous improvement, strong controls, and high-quality service for internal and external clients. • Bachelor’s degree in business, finance, accounting, or a related field, or an equivalent combination of education and relevant industry experience. • Eight or more years of progressive experience in broker-dealer or clearing firm operations, including significant experience leading operational teams, functions, or complex programs. • Broad knowledge of securities processing, clearing, custody, and the operational control environment supporting a regional or national financial services organization. • Experience in one or more of the following areas is preferred: Tax and Cost Basis Operations, Retirement Operations, Margin Operations, Cash Management Operations, or related clearing functions. • Demonstrated ability to develop and execute strategic and operational plans, translate business objectives into practical operating models, and deliver measurable results. • Proven success leading large, complex, and cross-functional projects or initiatives, with the ability to manage scope, resources, timelines, risks, dependencies, and competing priorities. • Strong leadership and people-management capabilities, including experience developing managers and team members, building accountable teams, and leading through organizational or operational change. • Sound understanding of broker-dealer regulatory requirements, risk management, internal controls, business continuity, and operational procedures. • Excellent written and verbal communication, executive presentation, negotiation, stakeholder-management, and conflict-resolution skills. • Strong analytical, critical-thinking, and problem-solving skills, with the judgment and attention to detail required to resolve complex operational issues and make timely decisions. • High degree of proficiency with operations-processing platforms, Microsoft Office applications, reporting tools, and technology used to support workflow, controls, and process improvement. • Ability to operate effectively in a fast-paced environment, adapt to changing organizational priorities, and manage multiple responsibilities and deadlines. • FINRA Series 7 and Series 24 or 27 preferred, or the ability to obtain required registrations within established company timeframes; Series 63 is a plus. Reporting directly to the Head of Operations, the Senior Operations Manager provides strategic and operational leadership across assigned Clearing Firm Operations functions. This role oversees day-to-day execution, maintains a strong risk and control environment, develops managers and team members, and ensures the accurate, timely, and compliant delivery of operational services.