About this role
Hilltop Securities Inc., a member of FINRA and SIPC, is a wholly owned subsidiary of Hilltop Holdings. As a self-clearing broker-dealer, HTS provides clearing, custody, and operations support to its financial advisors, branch offices, and clients. The Operations Manager leads an assigned back-office operations function within the asset services and account maintenance areas. This role ensures that client accounts and assets are processed accurately, on time, and in compliance with firm policies and FINRA, SEC, and other regulatory requirements. The Operations Manager manages risk and controls, serves as an escalation point for internal business partners, and drives process improvement and operational efficiency.
- Bachelor’s degree preferred or equivalent industry experience.
- 3 - 5 years of broker-dealer or clearing firm back-office operations experience
- Strong knowledge of back-office brokerage operations in one or more areas such as corporate actions, income processing, asset transfers, or account maintenance. Familiarity with DTCC, transfer agents, and back-office systems.
- Previous team lead/supervisory experience
- Ability to work in a fast-paced environment while maintaining accurate, complete, and high quality work
- Ability to interact with employees at all levels of the organization.
- Self-motivated team player and individual contributor.
- Ability to take initiative and work independently.
- Strong organizational skills.
- Strong decision-making ability.
- The ability to work effectively in a fast-paced, demanding environment.
- Strong PC skills including knowledge of MS Office Products and Internet preferred.
- FINRA Series 99 preferred or required within a designated timeframe. Series 7 or 24 a plus.