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Manager, Operations

Hilltop Holdings
Dallas, USA
Full-time
Manager · 3–5 years experience
Onsite
Discovered 3 days ago

Full Job Posting

Qualifications

  • Bachelor’s degree preferred or equivalent industry experience.
  • 3 - 5 years of broker-dealer or clearing firm back-office operations experience
  • Strong knowledge of back-office brokerage operations in one or more areas such as corporate actions, income processing, asset transfers, or account maintenance. Familiarity with DTCC, transfer agents, and back-office systems.
  • Previous team lead/supervisory experience
  • Ability to work in a fast-paced environment while maintaining accurate, complete, and high quality work
  • Ability to interact with employees at all levels of the organization.
  • Self-motivated team player and individual contributor.
  • Ability to take initiative and work independently.
  • Strong organizational skills.
  • Strong decision-making ability.
  • The ability to work effectively in a fast-paced, demanding environment.
  • Strong PC skills including knowledge of MS Office Products and Internet preferred.
  • FINRA Series 99 preferred or required within a designated timeframe. Series 7 or 24 a plus.

Responsibilities

  • Manage the daily operations of an assigned back-office function. Responsibilities may include one or more of the following areas:
  • Asset and Account Services - functions such as corporate actions, dividend and income processing, tax reporting and cost basis, retirement operations, receipts and disbursements, mutual fund operations, asset transfers, and other related asset servicing areas
  • Account Maintenance - new account setup and documentation review, registration and title changes, account restrictions, account closures, and deceased account processing
  • Supervise, train, and develop operations staff. Manage workflow, staffing coverage, and productivity so that all processing is accurate and timely.
  • Monitor and resolve exceptions, breaks, suspense items, and aged items. Reconcile positions and activity with DTC, transfer agents, custodians, and other counterparties.
  • Ensure compliance with firm policies and FINRA, SEC, IRS, and other regulatory requirements. Maintain written supervisory procedures, controls, and audit-ready documentation.
  • Serve as an escalation point for financial advisors, branch offices, and internal business partners. Resolve complex issues quickly and professionally.
  • Support internal audits, regulatory examinations, and risk reviews. Identify control gaps and carry out corrective actions.
  • Find opportunities for process improvement and automation. Partner with technology, vendors, and other operations teams on system enhancements, testing, and conversions.
  • Develop and report key metrics, volumes, and risk indicators to senior management.

Preferred Qualifications

  • Bachelor’s degree preferred or equivalent industry experience.
  • Strong PC skills including knowledge of MS Office Products and Internet preferred.
  • FINRA Series 99 preferred or required within a designated timeframe. Series 7 or 24 a plus.

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