FINRA Licensed Operations Manager
Company: VirtualVocations
Location: Vista
Posted on: May 7, 2025
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Job Description:
A company is looking for a Manager, HTK Operations to oversee
the Operations team in processing accounts and trading
activities.
Key Responsibilities
Lead daily operations including new accounts, transfers, and
project work
Support strategic projects related to operations and ensure
efficiency for financial professionals and clients
Generate data reports for regulatory exams and maintain vendor
relationships
Required Qualifications
Bachelor's Degree preferred
FINRA SIE, Series 99, Series 7, and Series 24 licenses required
Minimum of 10+ years of experience in financial services,
specifically in broker/dealer operations
Experience with regulatory examinations and providing reports to
regulatory agencies required
Expert knowledge of Pershing NetX360 platforms strongly
preferred
Keywords: VirtualVocations, Paramount , FINRA Licensed Operations Manager, Executive , Vista, California
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