FOLIOfn, Inc.

  • Vice President, Brokerage Operations

    Job Locations US-VA-McLean
    Posted Date 1 month ago(1 month ago)
    Job ID
    2018-1090
    # of Openings
    1
    Category
    Brokerage Operations
  • Overview

     

    This VP leadership role will be responsible for the daily broker dealer securities operations and trading functions supporting the firm’s self clearing broker dealer. The firm’s client base includes Retail, Registered Investment Advisors and Introducing Broker Dealers. Functional responsibility include; Trade Management, Trade Support, Asset Servicing (Corporate Actions and Income Processing), Trade Clearance/Settlement, Proxy Services and Mutual Fund Administration.

    Responsibilities

    • Manage multiple functions within brokerage operations department including; Trade Management, Trade Support, Asset Servicing (Corporate Actions and Income Processing), Trade Clearance/Settlement, Proxy Services and Mutual Fund Administration
    • Implement new policies, procedures and controls to ensure the various processing streams within the broker dealer are effective, efficient and in compliance with corporate and regulatory requirements
    • Represent the firm on all “streetside” activities, committees and project efforts
    • Proactively remediates operational issues that create an unstable processing environment
    • Monitor, analyze and report on the processing team(s) productivity, control and compliance operating environment to senior management
    • Drive the firm’s efforts to adhere to company policies and procedures and comply with legal and regulatory (FINRA and SEC) requirements
    • Establishe, as required, effective controls and processes to ensure risks are known, understood, measured, monitored, controlled and mitigated on an on-going basis
    • Keep abreast of industry updates and changes that may impact assigned work functions and processes
    • Drive process efficiency and mitigate risk through metric management
    • Successfully nurture and manage assigned vendor management relationships
    • Work collaboratively with colleagues driving process efficiency, control risk solutions and enhance client experience
    • Develop a cohesive and responsive team of operational process / service professionals

    Qualifications

    • Bachelor’s degree or equivalent education and work experience
    • Previous operations or trading support experience working at a financial services firm, preferably a Broker Dealer or Registered Investment Advisor (RIA)
    • 5+ years in a leadership position within a Financial Services operations or trading environment, preferably a Broker Dealer or Registered Investment Advisor environment
    • Series 7 preferred or must obtain with 12 months of hire
    • Series 24 preferred or must obtain within 12 months of hire
    • Strong leadership presence
    • Ability to collaborate cross functionally
    • Ability to manage vendors actively
    • Experience coaching and developing a team
    • Strong organizational skills with laser focus on work detail
    • Demonstrated ability to meet deadlines and work under pressure
    • Proven ability to be a positive change agent
    • High energy, positive attitude, client centric focused
    • Team player with excellent communication skills
    • Strong multi-tasking, time management and organizational skills
    • Knowledge of Microsoft Office (Word, Excel, PowerPoint)

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