Job Description
Title: Chief Operating Officer
Location: Chicago, IL Hybrid
About the Company
A dually registered self-clearing broker-dealer and Futures Commission Merchant (FCM), regulated by the SEC, FINRA, and CFTC.
Position Overview
The COO will lead operations across Broker/Dealer, FCM, Trade Execution, Fixed Income, and Securities Lending. This executive will drive strategic initiatives, oversee regulatory compliance, and lead cross-functional teams to ensure operational excellence and scalability.
Key Responsibilities
Strategic & Operational Leadership
- Develop and execute operations strategy aligned with corporate goals
- Lead process optimization and technology integration initiatives
- Define and track KPIs to measure operational performance
- Collaborate with leadership to enhance client service and support business growth
Team & Organizational Development
- Lead and mentor heads of operational teams
- Promote a culture of accountability, collaboration, and continuous improvement
- Drive standardization and change management efforts
Operational Oversight & Risk Management
- Manage daily clearing, settlement, trading, and custody functions
- Implement risk controls and improve efficiency through automation
- Ensure regulatory compliance with SEC, FINRA, CFTC, and OCC requirements
Project & Vendor Management
- Lead large-scale projects including system upgrades and new product launches
- Oversee vendor relationships and tech partnerships
Qualifications
Experience & Education
- 10+ years in financial services operations, including self-clearing broker-dealer and FCM
- 5+ years in senior leadership roles with multi-functional oversight
- Proven track record managing 15+ team members
- Bachelors in Finance, Business, or related field (MBA preferred)
Certifications & Skills
- Series 7 and 24 required; Series 4 preferred
- In-depth knowledge of regulatory frameworks and compliance practices
- Experience with regulatory exams, audits, and compliance programs
Preferred
- Background in equity options, fixed income, or operational technology
- Experience with business expansions, M&A, or digital transformation
- Certifications like PMP, FRM, or related
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Job Tags
Full time,