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Director Finra Series 27 Jobs (NOW HIRING)

Alpaca

Financial Operations Principal

Active FINRA Series 27 (Financial and Operations Principal) license * 7+ years of broker-dealer financial operations or regulatory accounting experience * Experience preparing and filing FOCUS ...

Wells Fargo

Branch Complex Director

Bellingham, WA · On-site

The Branch Complex Director role will lead branch(es) within a market of Wells Fargo Advisors. This ... FINRA Series 9 and 10 examinations and FINRA 65 or 66 or equivalent must be completed within a 180 ...

Wells Fargo

Branch Complex Director

Seattle, WA · On-site

The Branch Complex Director role will lead branch(es) within a market of Wells Fargo Advisors. This ... FINRA Series 9 and 10 examinations and FINRA 65 or 66 or equivalent must be completed within a 180 ...

Pennmutual

Director - HTK Operations

$145K - $165K/yr

Provide regulatory and control oversight, ensuring compliance with FINRA, SEC, and MSRB; maintain ... Series 27 preferred. Work Experience * 10+ years leading teams and driving cross-functional ...

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Infographic showing various Director Finra Series 27 job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 85% Full Time, 12% Part Time, and 2% Contract. Highlights an 90% Physical, 3% Hybrid, and 7% Remote job distribution.

Director of Operations | Broker Dealer

BTGPactual International

Miami, FL • On-site

Full-time

Re-posted 26 days ago

Job description

About the Role
We are seeking a senior Director / Executive Director of Operations to lead the U.S. Broker-Dealer Operations function. This role is based in Miami, reports directly to the Chief Operating Officer, and will be responsible for overseeing daily operations, leading a cross-regional team, supporting business growth, and maintaining a strong operational control environment.
The ideal candidate has deep experience in U.S. broker-dealer operations, including at least 5 years of self-clearing experience, strong regulatory knowledge, and the ability to operate effectively with senior stakeholders across Wealth Management, Retail, Compliance, Finance, Technology, Risk, and external clearing partners.
Key Responsibilities
  • Lead and manage an Operations team across Miami, Rio de Janeiro, and São Paulo, ensuring strong execution, accountability, and service standards.
  • Oversee daily operational routines, including trade support, settlement, cash movements, transfers, reconciliations, corporate actions, billing, exception management, and issue resolution.
  • Conduct regular team meetings, one-on-ones, feedback sessions, and performance discussions to support employee development and career progression.
  • Serve as a senior escalation point for operational issues, client-impacting matters, breaks, and cross-functional dependencies.
  • Support Wealth Management and Retail businesses by implementing new products, services, platforms, and operational workflows.
  • Translate business requirements into operational procedures, controls, project specifications, and technology enhancement requests.
  • Identify and lead initiatives that improve efficiency, reduce manual processes, strengthen controls, and create operational leverage.
  • Act as a key point of contact with clearing firms, including Pershing and Drive Wealth, as well as custodians, transfer agents, vendors, and other operational partners.
  • Apply self-clearing expertise across trade lifecycle, custody, books and records, reconciliations, regulatory reporting, and clearing-related controls.
  • Partner with Compliance, Legal, Risk, Finance, Technology, and senior management to support audits, regulatory reviews, control enhancements, and strategic initiatives.

Qualifications
  • Minimum of 5 years of self-clearing broker-dealer operations experience required.
  • Strong knowledge of U.S. broker-dealer operations, including clearing, custody, settlement, reconciliations, transfers, cash movements, corporate actions, and operational controls.
  • Prior experience in a senior operations leadership role within a broker-dealer, clearing broker, custodian, or financial services platform.
  • Experience supporting Wealth Management, Retail Brokerage, Digital Brokerage, or similar businesses preferred.
  • Proven ability to manage teams across multiple locations and partner with senior business, technology, compliance, and vendor stakeholders.
  • Strong understanding of operational risk, supervisory controls, regulatory obligations, and broker-dealer infrastructure.
  • Excellent communication, leadership, analytical, and problem-solving skills.
  • Ability to operate in a fast-paced, evolving, and growth-oriented environment.

Licenses
  • FINRA Series 24 required.
  • FINRA Series 27 required.

Location & Compensation
  • Location: Miami, Florida
  • Reporting Line: Chief Operating Officer

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