General Description

The Business Operations Officer (BOO) supports the unit’s operational integrity by overseeing critical operational processes that intersect with supervisory review, books and records, and regulatory compliance. The role helps route and validate documentation, monitors communications and transactions for exceptions, supports audits and regulatory requests, and contributes to the maintenance of policies and procedures. The role partners closely with Operations, Sales, and the Principal Review Desk to ensure effective workflows, timely approvals, strong controls, and compliance with regulatory and internal supervisory standards. The BOO also drives process standardization and automation initiatives, defines operational metrics, and provides reporting and dashboards to enhance management visibility and decision-making.

Essential Duties and Responsibilities

• Review/approve transactions for suitability (daily trade review/approval for fixed income, mutual funds, UITs, and structured products; ensure recommendations align with client profile and suitability requirements; monitor transactions/claims and escalate issues).
• Support regulatory compliance and risk monitoring (help ensure adherence to FINRA/SEC and internal standards; identify potential violations/control failures; escalate suspicious activity; assist with audits and regulatory document requests; help maintain Written Supervisory Procedures (WSPs).
• Support Principal Review Desk (PRD) operations and supervisory workflows (route approvals through correct workflows; perform pre-review/quality control of account documents with authority to accept/reject prior to principal escalation; prioritize daily workload across Operations/Sales/Management).
• Drive operational efficiency and automation projects (partner with management on new technology/automated workflows; document milestones; assign tasks to stakeholders; identify bottlenecks/redundancies; standardize processes; define and track KPIs; build management dashboards).
• Provide administrative and communications support (coordinate special events, seminars, and virtual events; develop internal newsletters; support employee training tied to new processes/regulations).
• Perform surveillance of electronic communications (review emails/IMs for red flags; escalate items requiring supervisory review/action; support internal investigations as needed).
• Serve as an administrator and platform champion (ex. Wealthscape/Wealthscape Investor; Protegent, Bloomberg Vault, Global Relay, FIS), train/coach others; configurate users’ segmentation/segregation and reports.

Education

Experience

At least 2 years of experience in work related to broker-dealers, registered investment advisors (RIAs) or financial industry preferred.

Certifications / Licenses

FINRA Serie 7, and 24 (highly recommended or studying to obtain them)

Other Qualifications

• Excellent time management skills.
• Strong oral and written communication sills (English and Spanish) and interpersonal skills.
• High energy and ability to work both independently and across multiple teams in very fast growth environment.
• Technology proficiency.
• Detailed oriented and able to take initiative.

Values