Responsibilities

📍Co-lead, alongside the CEO, the day-to-day operational oversight of the ATS, broker-dealer operations, and Transfer Agent services, ensuring operational integrity, regulatory compliance, and exceptional service delivery across Direct and Issuer-based Indirect subscriber channels 📍Oversee and refine onboarding, configuration, and lifecycle administration for ATS subscribers, including operational readiness, entitlement management, and workflow optimization 📍Develop, document, and maintain core business processes and control frameworks supporting supervisory, compliance, surveillance, recordkeeping, and reporting obligations 📍Partner closely with Compliance, Sales, Technology, and external vendors to validate that end-to-end processes function as designed, address issues promptly, and uphold operational continuity 📍Produce and maintain high-quality operational documentation, including business requirements, functional specifications, design requirements, governance forum materials, test plans, and implementation support documents 📍Collaborate with technology teams to shape and enhance ATS and operational capabilities, contributing to solution design, user acceptance testing, deployment readiness, and continuous improvement initiatives 📍Identify operational risks, process gaps, and control weaknesses; propose and implement practical, well-designed solutions aligned with industry best practices 📍Support Transfer Agent workflows, including recordkeeping, reconciliation processes, issuer communications, and related operational functions

Requirements

📍Minimum of 8 years of experience in broker-dealer, ATS, or exchange/market-infrastructure operations, with strong exposure to electronic trading environments and regulated operational frameworks 📍Deep understanding of back-office and middle-office functions, including trade capture, settlement, reconciliation, books and records, surveillance support, and regulatory reporting 📍Strong judgment and the ability to make timely, independent decisions in a fast-paced, high-accountability environment 📍Demonstrated ability to identify, diagnose, and resolve operational and compliance issues through structured, well-documented solutions

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