Operations Manager Clearing
Lime Trading Corp is currently hiring a senior operations professional to oversee the self-clearing operations of a US based broker-dealer.
The operations professional will oversee the clearing brokerage operations, manage the brokerage operations team, and ensure compliance with all applicable laws, rules and regulations.
Responsibilities
- Oversee, and grow over time, the firm’s clearing activities;
- Manage daily brokerage operations functions and brokerage operations team members;
- Work closely with the FinOP / CFO;
- Create a collaborative working relationship with the technology team to enhance the automation of back-office systems;
- Conduct meetings with the Compliance and Legal Departments to review, maintain, and update the firm’s written supervisory procedures;
- Manage internal and external audits and lead implementation of regulatory changes; and
- Maintain proactive relationships with the regulatory agencies, industry utilities and independent auditors.
Requirements
- Minimum of 10 years' experience at a broker dealer, with specific experience in self-clearing operations;
- Previous responsibility for owning core functions of brokerage operations such as cashiering, P&S, margin, settlements, tax reporting or operations control.
- Extensive FIS Securities Processing Manager (fka Phase3) experience
- Specific working knowledge of SEC, FINRA, NYSE, DTCC, OCC and NFA rules and regulations;
- Demonstrated ability to communicate effectively at all levels across the organization;
- Strong analytical skills, including proven ability to identify and quantify problems and propose and successfully execute solutions to those problems;
- Customer-centric business philosophy and team-oriented mindset;
- Desire to apply technology and automation to business processes whenever possible;
- Appreciation for compliance and adherence to applicable regulations; and
- Registrations : FINRA Series 99 required; 27 preferred
Company information :
About Lime Trading Corp :
Established in 2000, Lime’s founders were hedge fund traders who couldn’t find a brokerage firm to meet their needs for volume, speed, and privacy so they created one.
Today, Lime Trading Corp is expanding competitive access to everyone who values quality execution. Lime is filling a vacuum between the bulge bracket banks and retail brokerage firms.
As an agency broker, Lime is committed to a client-first approach to performance. The brand is comprised of Lime Trading Corp.
an SEC-registered broker-dealer, Lime Advisory Corp., an SEC-registered investment adviser, and Lime Crypto LLC. Securities are offered through these regulated entities.
Lime Trading Corp. is an SEC-registered broker-dealer, member of FINRA / SIPC / NFA. For more information, visit
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