Seeking a Branch Operations Manager for our client

Your role will cover the following functions:

• Review and approve new account openings across custodians
• Verify client financials, investment objectives, and source of funds for compliance
• Act as escalation point for client and internal inquiries
• Ensure timely and accurate client servicing aligned with policies
• Review and approve wires, deposits, transfers, trade corrections, and internal journals
• Oversee day-to-day transactional processes ensuring compliance with regulatory standards
• Supervise and allocate workloads for the operations team
• Lead daily/weekly staff meetings, performance reviews, and HR-related matters
• Ensure team is up to date with policies and regulatory requirements
• Serve as point person for internal operational projects

Qualifications

• Bachelor’s degree in Business Administration or related field (or equivalent experience)
• 5+ years of relevant operations experience in financial services
• FINRA Series 7, 66, and 24 or 9/10 required
• Knowledge of Pershing systems a strong plus
• Deep understanding of multi-custodian platforms and compliance regulations