Operations Manager

Creand Wealth Management is looking for an experienced Operations Manager for our Brickell office. As a member of the Operations Department, you will support the Chief Operations Officer to provide best-in-class service to both Broker Dealer and Registered Investment Advisory clients. You will have the opportunity to develop your own skill set while collaborating across all teams within the firm, including senior management. You will help the Firm ensure the success of critical Operations functions following the rules of our regulators (FINRA, The SEC and Auditing). You will participate in the development of challenging new processes and the implementation of amending present processes.

MAIN RESPONSIBILITIES

• Oversee the Broker dealer Operations, including self-clearing, settlements, and custody functions.
• Monitor and resolve trade breaks, fails, and reconciliation discrepancies
• Oversee daily cash and position reconciliations
• Ensure compliance with SEC, FINRA, and other regulatory requirements
• Respond to audit request from Regulators.
• Proactive seek ways to improve current processes and reporting to senior management
• Support Operations Department with ad hoc reporting.
• Crosstrain within the Operations Department to know all roles and responsibilities.
• Support and act as the backup of the Chief Operations Officer in the oversight of the department and daily operations.

QUALIFICATIONS

• 3-5 years of industry experience in Broker-Dealer Operations.
• 3-5 years of self-clearing experience.
• FINRA Series 99 required.
• FINRA Series 7 preferred.
• Excellent verbal and written communication skills.
• Attention to detail at the highest level.
• Proficiency in Microsoft Suite of products, advanced proficiency in MS Excel.
• Excellent time management skills.
• Ability to work in a team environment, self-motivated and research capabilities.
• Pro-active, detail-oriented and organized.
• Higher level analytical and problem-solving skills.
• Experience working with DTC/Euroclear systems.
• Excellent written and verbal communication skills.
• High level of integrity, confidentiality and judgment.
• Ability to multi-task and prioritize task in a fast-paced environment.

We are an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees and associates .