Title: Chief Operating Officer Location: Chicago, IL Hybrid About the Company A dually registered self-clearing broker-dealer and Futures Commission Merchant (FCM), regulated by the SEC, FINRA, and CFTC. Position Overview The COO will lead operations across Broker/Dealer, FCM, Trade Execution, Fixed Income, and Securities Lending. This executive will drive strategic initiatives, oversee regulatory compliance, and lead cross-functional teams to ensure operational excellence and scalability. Key Responsibilities Strategic & Operational Leadership Develop and execute operations strategy aligned with corporate goals Lead process optimization and technology integration initiatives Define and track KPIs to measure operational performance Collaborate with leadership to enhance client service and support business growth Team & Organizational Development Lead and mentor heads of operational teams Promote a culture of accountability, collaboration, and continuous improvement Drive standardization and change management efforts Operational Oversight & Risk Management Manage daily clearing, settlement, trading, and custody functions Implement risk controls and improve efficiency through automation Ensure regulatory compliance with SEC, FINRA, CFTC, and OCC requirements Project & Vendor Management Lead large-scale projects including system upgrades and new product launches Oversee vendor relationships and tech partnerships Qualifications Experience & Education 10+ years in financial services operations, including self-clearing broker-dealer and FCM 5+ years in senior leadership roles with multi-functional oversight Proven track record managing 15+ team members Bachelors in Finance, Business, or related field (MBA preferred) Certifications & Skills Series 7 and 24 required; Series 4 preferred In-depth knowledge of regulatory frameworks and compliance practices Experience with regulatory exams, audits, and compliance programs Preferred Background in equity options, fixed income, or operational technology Experience with business expansions, M&A, or digital transformation Certifications like PMP, FRM, or related #J-18808-Ljbffr Jobvertise.com - Jobboard
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