Dir, Broker Dealer Operations
Dir, Broker Dealer Operations
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$ 150735 - 203936
1 Vacancy
Job Description
The Leader Broker-Dealer Operations is responsible for the strategic oversight and management of all operational aspects of a registered broker-dealer. This role oversees trade processing new account onboarding regulatory reporting clearing firm relations supervision of operational staff and support for registered representatives. The Director serves as a key liaison with clearing and custodial partners ensures strict compliance with FINRA and SEC regulations and drives continuous process improvements to support scalable growth. In addition to managing day-to-day operations the role is accountable for leading and developing a high-performing operations team supporting registered representatives and delivering a best-in-class experience to both internal stakeholders and external clients. The ideal candidate combines deep operational expertise with strong leadership regulatory awareness and a proactive solutions-oriented mindset.
DUTIES & RESPONSIBILITIES:
Leadership & Strategy
Develop and implement operational strategies that support business growth and exceptional client service.
Partner with executive leadership to streamline workflows scale services and support strategic initiatives.
Operational Leadership
Oversee all daily operational functions of the broker-dealer including account opening trade processing account transfer and money movement.
Monitor and improve processes for client onboarding maintenance and transitions.
Design and maintain scalable workflows that promote accuracy efficiency and compliance.
Partner with other operational leaders to deliver best in class client and advisor experiences.
Regulatory Compliance
Ensure adherence to FINRA SEC and other regulatory requirements.
Lead or support regulatory audits examinations and internal control reviews.
Maintain and update written supervisory procedures (WSPs) in coordination with Compliance.
Clearing and Custodial Relationships
Serve as primary liaison with clearing firms and custodians.
Manage escalations service levels and platform optimization with key vendors.
Team Management
Recruit develop and sustain a high-performing team while promoting and fostering a culture of shared accountability risk awareness proactive problem-solving engagement client-centricity operational excellence (including client and advisor experiences) innovation continuous improvement and partnership and collaboration across the team.
Collaborate closely with advisors compliance and client service teams to ensure smooth operations and client satisfaction.
The leader will model Thrivents leadership competencies.
Technology & System Oversight
Manage systems related to new business transfers money movement trade processing data feeds and reporting.
Partner with our technical team to evaluate and implement tools that improve operational workflow and advisor experience.
Advisor and Client Support
Partner with Compliance Finance and Product team to resolve escalated issues and improve the advisor onboarding and servicing experience.
Ensure phone chat and processing service levels are maintained on a consistent basis
Support transitions of new advisors and firms joining the broker-dealer.
Reporting & Analysis
Establish and monitor key performance indicators (KPIs) for operational success and report to executive leadership.
Deliver regular reports to leadership on operational efficiency service levels and key initiatives.
Analyze workflow trends and quality reporting and develop/implement recommendations for continuous improvement.
Describe below the audience this role will interact with and level of influence they will have on those roles.
This leader will lead key areas of the operational organization and play a critical role in shaping day-to-day execution and long-term operational strategy. The role supports growth and efficiency in a fast-paced evolving environment with broad visibility across the firm. The leader will collaborate closely with teams across Operations Distribution and Compliance and will influence internal stakeholders at all levels through strong execution cross-functional partnership and leadership presence.
QUALIFICATIONS & SKILLS:
Required:
Bachelors degree in Finance Business Administration or related field.
10 years of experience in broker-dealer operations with at least 5 years in a leadership role.
FINRA Serieslicenses (or will obtain within 90 days).
Strong knowledge of FINRA/SEC rules operational risk controls and broker-dealer compliance requirements.
Experience with clearing platforms (e.g. Pershing National Financial RBC etc.).
Proven track record in managing teams regulatory audits and operational change initiatives.
Exceptional problem-solving communication organizational interpersonal and influencing skills. Ability to build trusted relationships with senior business leaders and employees across all levels of the Operations organization.
Demonstrated ability to lead end-to-end process improvement and take intelligent risks to manage expenses and drive continuous improvement.
Experience leading through change as a collaborative leader adept in challenging the status quo while maintaining effective partnerships with key stakeholders.
Strategic thinker with strong conceptual ability with demonstrated ability to improve systems and processes and deliver results.
Demonstrated ability to maintain an external perspective of emerging management and operations trends and identity actions to improve operational stability and mitigate risk.
Strong analytical capabilities with experience using data to drive recommendations and decision making (qualitative analyses financial modelling competitor/industry research etc.).
Excellent coaching and people leadership skills.
Pay Transparency
Thrivent provides Equal Employment Opportunity (EEO) without regard to race religion color sex gender identity sexual orientation pregnancy national origin age disability marital status citizenship status military or veteran status genetic information or any other status protected by applicable local state or federal law. This policy applies to all employees and job applicants.
Thrivent is committed to providing reasonable accommodation to individuals with disabilities. If you need a reasonable accommodation please let us know by sending an email toor calland request Human Resources.
Employment Type
Full-Time
