Investment Banking Operations Manager

About the Company

This is a global leader in providing fintech solutions for capital markets. They support both traditional private securities and digitally enhanced securities, utilizing innovative technology such as blockchain. Their goal is to transform the private capital markets and make them more efficient, transparent, and liquid. All their security trading operations comply with financial regulations, giving prospective issuers a viable, proven, and cost-effective alternative to traditional IPOs and legacy trading systems. With a growing portfolio of distributed ledger technology patents and a focus on working closely with regulators, they have a unique competitive advantage in the market as more capital markets and public companies recognize the benefits of digital securities.

Job Description

This position is critical to the company's vision of expanding its online brokerage platform to include a wide range of investment products and services. The ideal candidate will have operational experience with private placements and other investment banking products, think strategically about improving efficiency, and be interested in the crowdfunding industry and blockchain technology.

Responsibilities:

• Communicate directly with clients to review and respond to inquiries and requests
• Collaborate with developers to create and identify system enhancements to expedite efficiency
• Report findings to Legal and Compliance and provide timely follow-up on outstanding issues
• Perform other duties as required and assigned by management
• Work with team members to determine and prioritize business strategies
• Establish and manage the primary issuance department for the brokerage business
• Develop systems and operational procedures to refine for efficiency
• Define key performance indicators and manage company OKRs
• Coordinate with broker-dealer compliance on AML/KYC monitoring and other compliance tasks
• Oversee primary issuance issuer and investor onboarding
• Manage a wire room and coordinate with the controller to oversee reconciliation of funds from primary issuance capital raises
• Review and approve account applications, funding requests, and discrepancies with vendors and service providers

Experience & Qualifications:

• 4+ years' experience in brokerage or investment banking operations
• Ability to manage parallel tasks
• Able to work independently and efficiently in a fast-moving environment with tight deadlines
• Proven experience directing multiple teams and departments
• Familiarity with securities crowdfunding a plus
• Understanding and appreciation of operating in a regulated securities industry
• Experience in the private capital markets
• Fluency with digital technology application to capital markets preferred
• Excellent oral and written communication skills
• Ability to multitask while paying high attention to detail

Education / Licenses:

• Bachelor's degree required in business or related field
• FINRA Licenses: Series 79, or Series 7 and, preferably, Series 24

Skills : ACH,MANAGER,OPERATIONS