Operations lead

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 OPERATIONS LEAD- Self-Clearing Broker Dealer

Location: New York, NY
Schedule: Full-Time , Onsite/Hybrid
Compensation: $150-175k + Excellent Benefits, Discretionary Bonus
Status: Interviewing Immediately 

 Role Overview

Tough Tech Solutions Corp. is conducting a confidential search for an Operations Lead for a FINRA-approved U.S. broker-dealer affiliated with an established international financial technology and wealth management platform.

The company is expanding its U.S. broker-dealer operations in New York and is building a lean, high-performing operations team to support a self-clearing securities business. This role will report into senior U.S. operations leadership and serve as a key execution partner responsible for daily operational workflows, settlement oversight, account processing, reconciliations, exception management, and operational control discipline.

This is a strong opportunity for a hands-on broker-dealer operations professional who understands the day-to-day mechanics of a securities operations environment and wants to help build a modern, technology-enabled operating platform from the ground up.

• Support the daily operations of a self-clearing U.S. broker-dealer.
• Manage operational workflows across trade processing, clearing, settlement, reconciliations, account maintenance, asset movement, and exception resolution.
• Monitor daily breaks, trade discrepancies, fails, settlement issues, buy-ins, and other operational exceptions.
• Support fixed income, equity, mutual fund, and options-related operational processing.
• Assist with corporate actions, dividends, transfers, payments, custody workflows, and client account activity.
• Support ACATS and non-ACATS transfer processing.
• Help implement and maintain standard operating procedures, workflow documentation, checklists, and control processes.
• Partner with senior operations leadership to ensure operational procedures align with supervisory requirements and internal controls.
• Coordinate with Compliance, FINOP, Finance, Technology, vendors, custodians, counterparties, clearing organizations, and transfer agents.
• Assist with audit trails, evidence of review, exception reporting, and operational issue tracking.
• Help identify process gaps and recommend improvements to support scale, accuracy, and risk mitigation.
• Provide guidance to junior operations staff and help maintain daily workflow discipline.
• Escalate material operational, client, settlement, regulatory, or financial control concerns to senior leadership.

The ideal candidate is a practical, detail-oriented broker-dealer operations professional with strong clearing, settlement, reconciliation, and account lifecycle experience.

This person should be comfortable working in a buildout environment where processes are being designed, documented, improved, and scaled. The right candidate will be hands-on, organized, calm under pressure, and capable of helping senior leadership convert procedures into reliable daily execution.

• 5+ years of broker-dealer operations experience.
• Experience supporting clearing, settlement, trade processing, reconciliations, and operational exception management.
• Familiarity with self-clearing or clearing broker-dealer environments.
• Experience with equities, fixed income, mutual funds, and/or options operations.
• Strong understanding of trade lifecycle, account maintenance, transfers, custody, and asset movement.
• Experience working with operational controls, SOPs, checklists, supervisory review evidence, and issue escalation.
• Ability to work closely with Compliance, FINOP, Finance, Technology, and senior operations leadership.
• Strong Excel, reporting, reconciliation, and problem-solving skills.
• Excellent attention to detail and ability to manage multiple deadlines in a regulated environment.

• Fixed income settlement experience.
• DTCC, NSCC, DTC, OCC, ACATS, or related clearing/settlement exposure.
• Experience with corporate actions, dividends, buy-ins, fails, trade breaks, and transfer processing.
• Prior experience in a fintech, wealthtech, advisory platform, custody, clearing, or broker-dealer buildout environment.
• Experience training or guiding junior operations staff.
• Familiarity with books and records, customer protection controls, possession and control concepts, or FINOP coordination.

• Series 7
• Series 63
• Series 99
• SIE
• Series 24 helpful but not required.

The anticipated compensation range is:

$150,000 – $175,000 base salary, plus excellent benefits and a discretionary bonus.

Final compensation will depend on experience, licensing, technical depth, and overall fit.

This is an opportunity to join a newly expanding U.S. broker-dealer operations team at an early and influential stage. The Operations Lead will help establish the daily operating rhythm, support a self-clearing infrastructure, work closely with senior leadership, and contribute to the buildout of a modern, controlled, technology-enabled broker-dealer platform.

Submit your resume directly or reach out confidentially:

📧 mike@toughtechsolutions.com