Broker-Dealer Operations Leader

U.S. Bank

. Build and lead high-performing broker-dealer operations teams .

Posted 10/8/2026full-timeUnited StatesSenior💰 $111,605 - $131,300 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in broker-dealer operations, client onboarding, and operational risk management while leading high-performing teams through organizational transformation and process improvement initiatives.

Highest-signal resume keywords

Broker-Dealer OperationsClient OnboardingOperational Risk ManagementLeadership ExperienceData Governance

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Operational ControlsProcess ImprovementData ManagementCollateral ManagementMargin OperationsSettlementsAuditRegulatory ComplianceWorkflow AutomationUAT Testing

Soft Skills

Analytical SkillsProblem-SolvingDecision-MakingInfluencing SkillsStakeholder Management

Tools & Technologies

ExcelPowerPointBI/Reporting PlatformsOperational Dashboards

Certifications & Qualifications

FINRA Registrations

Industry Keywords

Capital MarketsSecurities OperationsInstitutional BankingBusiness Continuity PlanningOperational Governance

About the role

Key responsibilities & impact

Build and lead high-performing broker-dealer operations teams
Establish scalable processes, procedures, controls, and operating models
Partner with front office, risk, compliance, technology, finance, and operational stakeholders
Support organizational growth, transformation initiatives, and regulatory readiness
Drive operational efficiency, data quality, process improvement, and risk management initiatives
Develop team members through coaching, mentoring, and performance leadership
Manage priorities in a fast-paced environment while delivering exceptional client and business outcomes
Lead activities supporting client onboarding, account and security setup, static data management, and data governance
Lead collateral management, margin operations, settlements, corporate actions, and related operational processes
Lead business services supporting operational governance, procedures, audits, business continuity planning, metrics, reporting, access certifications, and critical control functions

Requirements

What you’ll need

Bachelor's degree or equivalent practical experience
4+ years of experience in broker-dealer/capital markets operations, business management, governance, controls, audit, risk, or a related financial-services function
Leadership experience within broker-dealer, capital markets, securities, institutional banking, or financial services operations
Expertise in client onboarding, data management, collateral, margin, settlements, governance, controls, or operational risk
Experience leading teams through growth, change, process improvement, or organizational transformation
Strong analytical, problem-solving, and decision-making skills
Ability to influence and collaborate across multiple business lines and stakeholders
Proven leadership experience managing teams and complex, cross-functional operations
Knowledge of broker-dealer operating models, trade lifecycle processes, account structures, reference data, operational controls, and risk management frameworks
Experience designing and implementing procedures, controls, governance programs, escalation frameworks, operational metrics, and compliance oversight processes
Expertise supporting operational risk management, audit and regulatory examinations, business continuity planning, access governance, and issue remediation
Experience building, transforming, or scaling client onboarding, account master, security master, reference-data, collateral, settlements, governance, or operational-control functions
Knowledge of institutional fixed income, equities, securities operations, and new-product implementation initiatives
Experience with workflow automation, onboarding platforms, data governance solutions, UAT testing, and conversion or platform migration activities
Strong executive communication and stakeholder management skills
Advanced analytical and reporting capabilities using Excel, PowerPoint, BI/reporting platforms, and operational dashboards
Demonstrated success leading organizational change, process standardization, operational transformation, and continuous-improvement initiatives
Ability to drive strategic priorities while balancing risk, regulatory requirements, operational efficiency, and client experience
FINRA registrations applicable to leadership responsibilities, or ability to obtain required registrations
Ability to work from a U.S. Bank location three or more days per week
Ability to work Monday–Friday, 8:00 a.m.–5:00 p.m. local time

Benefits

Comp & perks

Healthcare (medical, dental, vision)
Basic term and optional term life insurance
Short-term and long-term disability
Pregnancy disability and parental leave
401(k) and employer-funded retirement plan
Paid vacation (from two to five weeks depending on salary grade and tenure)
Up to 11 paid holiday opportunities
Adoption assistance
Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
Incentive and recognition programs
Equity stock purchase
401(k) contribution and pension