Financial Operations Manager
remxDenver (CO)
About the role
Financial Operations Manager - REMOTE ROLE!A well-established independent broker-dealer is seeking a Financial Operations Manager to oversee daily back-office and middle-office operations.
Key Responsibilities:
- Manage new accounts, AML/KYC, licensing and registrations
- Oversee ACATS, DWAC, wires, securities transfers, and account maintenance
- Supervise operational processes and client account servicing
- Support compliance reviews, audits, and regulatory examinations
- Partner with Compliance, Legal, Trading, and Finance teams
Qualifications:
- 7+ years of broker-dealer operations experience
- Active FINRA Series 24 license required
- Strong knowledge of broker-dealer regulations
- Experience with fixed income, equities, options, and Rule 144 transactions
Benefits: Medical, Dental, Vision, and 401(k)
Salary:
Depending on Experience/Competitive with market (110-175K, NEG+ bonus/benefits). Apply today - fully remote!
Before you apply
Applying takes about a minute. These four things decide how fast it moves after that.
Your profile is current
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Two examples you can talk through
Not a portfolio — just two pieces of work where you can explain the decisions and what you'd change.
A number in mind
What you're on now and what would make you move. We negotiate better when we know both.
Your notice period
Employers plan around it, and it's the question that stalls offers most often.
Once you apply, someone reads it and calls you before anything reaches the employer — usually within two working days.
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