Operations Manager
Role Overview
The Operations Manager is a key leadership role responsible for overseeing and continuously enhancing the operational infrastructure of the broker-dealer.
The individual will manage the end-to-end operational lifecycle supporting client accounts, cash movements, securities transactions, account maintenance, vendor management, and regulatory recordkeeping.
The role serves as the primary liaison between the firm, its clearing broker, custodians, banking partners, and third-party service providers.
The Operations Manager will establish and maintain a strong control environment, identify operational risks, implement mitigating controls, and develop scalable procedures.
The position requires a hands-on professional with strong broker-dealer operations expertise and the ability to manage multiple priorities in a fast-paced, highly regulated environment.
Key Skills for This Role
Full Job Posting
Company Description
Galicia Capital US, LLC is a fully owned subsidiary of Grupo Financiero Galicia SA (ticker GGAL).
The firm connects individuals and businesses with global investment opportunities and direct access to international financial markets.
It is a Broker/Dealer member of FINRA and SIPC operating under strict regulatory standards.
The company values professionalism, integrity, and a client-centric approach.
Role Description
The Operations Manager is a key leadership role responsible for overseeing and continuously enhancing the operational infrastructure of the broker-dealer.
The individual will manage the end-to-end operational lifecycle supporting client accounts, cash movements, securities transactions, account maintenance, vendor management, and regulatory recordkeeping.
The role serves as the primary liaison between the firm, its clearing broker, custodians, banking partners, and third-party service providers.
The Operations Manager will establish and maintain a strong control environment, identify operational risks, implement mitigating controls, and develop scalable procedures.
The position requires a hands-on professional with strong broker-dealer operations expertise and the ability to manage multiple priorities in a fast-paced, highly regulated environment.
Responsibilities
- Oversee daily broker-dealer operations.
- Manage relationships with clearing firms and vendors.
- Ensure timely processing of transactions and client requests.
- Develop operational procedures and controls.
- Support audits and regulatory examinations.
- Coordinate account onboarding and maintenance.
- Prepare operational reports and metrics.
- Maintain books and records.
- Lead process improvement and automation initiatives.
- Collaborate with Compliance, Finance, and Front Office teams.
Qualifications
- Bachelor degree in Business, Finance, Accounting, or related field.
- 5+ years of broker-dealer operations experience.
- Knowledge of securities and fixed income operations and trade lifecycle processes and reporting.
- Experience with FINRA-regulated entities.
- Strong analytical, organizational, and communication skills.
- Spanish and English preferred.
- FINRA licenses SIE, Series 7, Series 99 and Series 24 or ability to obtain in the first 120 days.
Benefits
- Competitive compensation package.
- Health, vision, life insurance.
- Short- and long-term disability insurance.
- 401(k) plan with company matching contributions.
Apply for this job in 1 click
Skip the repetitive application forms
Install the Base Career Chrome Extension and autofill job applications across major job boards with your profile.
Trusted by over 500,000 job seekers on Base Career