Head of Broker Dealer Operations Job at Phaxis, New York, NY

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  • Phaxis
  • New York, NY

Job Description

Key Responsibilities: Manage and develop team members, overseeing work performed by outsourced operations teams, including Client BPO. Create and maintain operational policies and procedures ensuring compliance with SEC, Client, NFA, CFTC, and other exchange regulations. Build and maintain relationships with clients, including hedge funds, market makers, trading houses, and family offices, ensuring effective communication and problem resolution. Collaborate with the Front Office to establish best practices, streamline operations, increase automation, and strengthen control frameworks. Perform daily middle office tasks including trade booking, reconciliation, confirmation, cash flow management, and regulatory reporting. Engage with vendors and internal stakeholders to support automation and resolve operational challenges. Experience: Minimum of 10 years of experience in a financial institution, including at least 3 years in a management role. Must have extensive knowledge of global markets or Prime Brokerage. Knowledge of the full trade lifecycle for Fixed Income, Equities, and Options, including Fedwire, DTC/NSCC, and OCC settlement processes. Strong familiarity with vendor systems like Client Impact, BPS, Bloomberg TOMS, and Client TRACE. Working knowledge of DTC/NSCC and international settlements. Series 99 and 27 required. Base Salary - $225,000-$300,000 depending on experience Phaxis

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