BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

We connect the right people with the right positions throughout the financial community.

  • Asset Management
  • Alternative Investments
  • Banking
  • Broker/Dealers
  • Commercial Lending
  • Consulting
  • Corporate Treasury
  • Family Offices
  • Financial Services Software Services
  • Insurance & Pension Funds
  • Municipal Finance
  • Private Equity
  • Real Estate Finance
  • Trading

Brokerage Consultants - Financial Recruiting

Tap our resources.

They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:

Job Type:

Operations Director (575-286)


Reporting to Operations Senior Leadership, the Operations Leader will be
part of the management team of an industry leading independent broker-
dealer. This position will be responsible for driving overall department
effectiveness by directing the operation of one or more functional areas in

Work with Senior Leadership to establish and direct the business plan
including production, retention, staffing and training
Develop and implement strategic initiatives regarding company and Operations
policies and procedures in order to improve overall service standards and
champion company strategic mission, core values, and firm level objectives
Create, develop and enhance work processes and lead change through company’s
continuous improvement strategies
Oversee all compliance policies to ensure all activities and materials are
in line with company ethics and compliance standards; ensure maintenance of
accurate records and document actions for area(s) managed
Manage forward company revenue and profitability targets
Direct the budgetary process for areas under direct supervision; oversee
quarterly budget reviews, analyze and provide explanation for budget
variances to Accounting leadership and Senior Management
Create a positive and productive work environment and support the firm as an
employee destination of choice
Lead the rollout of new products and services offered to financial
advisors/registered representatives by the firm or other industry sources as
Coordinate accurate and timely disbursement of Operations information from
sponsor companies, clearing firms and other industry sources to the rep
advisors or clients as necessary
Interface internally and externally to achieve the Company’s common goals
and ensure communication of those goals and statuses to all necessary
Identify, monitor and manage risk factors within areas of responsibility
Effectively understand and manage responsibilities pertinent to supervised
departments roles in regard to WSP and regulatory matters where applicable
Provide day to day leadership and management to the entire organization and
specifically to the business unit(s) that fall under areas of responsibility
Attract, recruit and retain required members of the team(s) not currently in
place and proactively forecast staffing needs
Manage and supervise the day-to-day activities of the Operations department
by possessing the ability to provide strong leadership, in-depth training,
and human relations and mentoring to direct and indirect reports
Ensure that policies and procedures as set forth in the Company Employee
Manual are being followed
Set reasonable standards for accomplishing company mission and departmental
tasks and goals
Administer timely and regular performance reviews
Administer timely verbal, written, and termination notices to employees as

Bachelor’s degree required
Minimum of 10 years Financial Services industry experience, including
specific experience supporting operations
5 or more years of management experience preferred with a proven track
record of scalable implementations
Pershing and National Financial Services Operations experience preferred
FINRA Series 7 required
FINRA Series 24 preferred and would be required within 6 months of hire
Ability to personally interact with internal and external customers,
executive management, industry partners and resources, adjusting
communications to the situation, and successfully understanding and
communicating product capabilities and priorities to each audience
Ability to travel locally within a specific geographic area; limited travel
outside of specific geographic area (some overnight travel) when applicable
for department

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