We are seeking to hire a Head of Broker Dealer Operations to ensure the firm's compliance with all FINRA and SEC rules and regulations by providing necessary advice, training, risk assessment and supervision pertaining to all of the firm's new and existing business and trading activities. The position is responsible for implementing and supervising all required policies and procedures for all new and existing business with the clearing firm as well as direct business and the supervision of all employees within the department. This position will work closely with the executive team, and interact with all associated persons at the firm.

Required Experience:

• Extensive knowledge of securities rules and regulations covering operating procedures and customer protection
• Working knowledge of securities registration and membership requirements for FINRA member firms and RIAs
• Possess experience with the interaction between an SEC RIA and FINRA member broker dealer and their associated responsibilities
• Supervision of broker dealer trading, client services, account management and all departmental personnel
• Management of prime brokerage services and repo financing teams
• Experience with primary securities issuance and market making activities
• Understanding of the securitization process
• Strong understanding of ATS operations
• Principal supervision and approval of domestic retail accounts, equities, Regulation D/alternatives, cashiering and trade error management/correction

Required Responsibilities:

• Supervision of all broker dealer operations
• Implement necessary risk assessment reviews including internal audits and automated surveillance/monitoring programs to review the firm's activities to remain in compliance with all aspects of industry standards
• Provide advice and training to firm's management and employees regarding applicable securities rules, regulations, and firm policies
• Demonstrate excellent communication skills, both oral and written. Should have the ability and experience to draft clear and professional correspondence, policies and procedures, and other documents of both legal and business nature. Must be able to correspond with all regulators and auditors.
• Demonstrate ability to effectively analyze situations, absorb large amounts of information and apply past experience and judgment to resolve issues in a timely manner
• Review documentation and provide Compliance approval of all new accounts regarding "Know Your Customer" and the firm's customer identification and anti-money laundering procedures
• Supervision of account openings

Candidate Requirements :

• Bachelor's Degree or Higher Required
• Current Series 7, 24, 63/65 or 66 qualifications required
• Minimum of 7 years experience in operations of a broker dealer with a focus on securities compliance and/or legal experience in securities compliance, emphasis on sales and sales trading, retail, and Regulation D activities
• Strong attention to detail and extreme organization is pivotal for this position
• Fluent with all current FINRA issues and concerns
• Working knowledge of FINRA, SEC, and State Securities rules and regulations
• Proven ability to lead a team, including effective communication both at the individual, as well as at the departmental level, effectively leading to the resolution and interpretation of employee/departmental related issues

Job Type:

Full Time. Must be from the Greater Denver Area, or willing to relocate.