What are the responsibilities and job description for the Operations Manager (FINRA Series 9/10) – Broker Dealer position at Ascendo Resources?
Title: Branch Operations Manager (Series 9/10) – Broker Dealer
About the Opportunity
A leading full-service broker-dealer and investment banking platform is seeking a Branch Operations Manager to support a large, high-producing office environment. This role will oversee daily operations, ensure regulatory compliance, and partner closely with Financial Advisors and leadership to maintain efficient branch performance.
Key Responsibilities
- Oversee day-to-day branch operations and workflow
- Supervise money movement, disbursements, and receipts in line with FINRA regulations
- Manage order processing, including corrections and client inquiries
- Oversee account opening and onboarding processes
- Act as liaison between branch and internal infrastructure teams
- Provide operational support to Financial Advisors
- Train, mentor, and manage operations staff
- Ensure compliance with regulatory and supervisory requirements
- Support branch leadership with special projects and initiatives
Qualifications
- 5 years of experience in brokerage / financial services operations
- Prior management or supervisory experience required
- Active FINRA licenses: Series 7, Series 63/65 or 66, Series 9 & 10 (or 8)
- Strong knowledge of broker-dealer operations and workflows
- Excellent communication and organizational skills
- Ability to manage multiple priorities in a fast-paced environment
- High attention to detail and strong problem-solving skills
Core Competencies
- Regulatory & Operational Compliance (FINRA)
- Broker-Dealer Operations Management
- Leadership & Team Development
- Workflow Optimization
- Client Service & Issue Resolution
- Cross-Functional Collaboration
What This Role Offers
- Exposure to a high-performing, large-scale branch environment
- Leadership role with direct operational impact
- Strong interaction with Financial Advisors and senior leadership
- Competitive compensation bonus potential
Compensation: $120k - $140k base salary range
Salary : $120,000 - $140,000