Series 3 Licensed Operations Director

A company is looking for a Director of Operations to oversee daily brokerage activities and ensure operational efficiency and compliance.

Key Responsibilities

Lead daily operations for the Trade Desk and Support Desk, ensuring timely and compliant service delivery

Manage and develop Trade Desk and Support Desk staff, conducting performance reviews and training programs

Collaborate with cross-functional teams to align procedures and enhance the overall trader experience

Required Qualifications

Bachelor's degree in business, Finance, or related field (preferred)

Series 3 license required; Series 30 preferred

Minimum 7 years of brokerage or trading operations experience within an NFA / CFTC-regulated environment

Proven leadership in Trade Desk, Support, or Operations Management

Strong working knowledge of regulatory frameworks and risk management practices