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6 days ago Be among the first 25 applicants Direct message the job poster from Revel IT Must live in Chicago, IL or be open to relocate. Must be Series 24 certified. Salary has a total comp of $350-400K possibly more for the right candidate Chief Operating Officer (Hybrid Position - Chicago) We are seeking a visionary operational leader to serve as Chief Operating Officer, overseeing our comprehensive operations infrastructure across multiple business lines. This executive role requires a proven leader with extensive experience in operations, regulatory compliance, and team development to drive strategic initiatives and operational excellence across our growing organization. Position Overview The COO will have operational oversight of approximately 20 professionals across five critical operational divisions: Broker Dealer Operations, FCM Operations, Trade Execution, Fixed Income Operations, and Securities Lending Operations. This role combines strategic leadership with hands-on operational expertise to ensure seamless service delivery, regulatory compliance, and sustainable business growth while maintaining our commitment to operational excellence. Key Responsibilities Strategic Leadership & Vision Develop and execute comprehensive operational strategies aligned with corporate objectives and growth initiatives Lead process optimization initiatives across all operational divisions Drive strategic planning for capacity expansion, technology upgrades, and operational scalability to support business growth Collaborate with senior leadership on business development opportunities and enhanced client service delivery Establish key performance indicators and operational metrics to measure performance and success Organizational Leadership & Development Provide executive leadership and strategic direction to division heads across Broker Dealer Operations, FCM Operations, Trade Execution, Fixed Income, and Securities Lending teams Foster a culture of continuous improvement, accountability, and cross-functional collaboration across all operational teams Lead organizational change management initiatives and drive process standardization efforts Operational Excellence & Risk Management Ensure operational integrity and efficiency across clearing, settlement, custody, and trading operations Oversee daily operations including clearing, settlement, pledging, exercise & assignment, expiration processing, corporate actions, and position transfers Implement robust risk management frameworks and operational controls across all divisions Drive automation and technology integration to enhance operational efficiency and reduce operational risk Regulatory Compliance & Governance Maintain comprehensive understanding of regulatory landscape across SEC, FINRA, CFTC, and OCC requirements Oversee compliance with Regulation T, FINRA Rule 4210, SEC Rules 15c3-3 and 15c3-1, and CFTC regulations Establish governance frameworks and reporting structures for regulatory compliance Ensure robust recordkeeping and documentation standards across all operational areas Lead large-scale operational projects including system implementations, process re-engineering, and regulatory initiatives Oversee vendor management and technology partnerships to enhance operational capabilities Drive innovation in operational processes through automation, workflow optimization, and technology integration Manage resource allocation across operational divisions Lead cross-functional projects supporting business expansion and new product launches Qualifications Required Experience & Education 10+ years of progressive leadership experience in financial services operations, with significant experience in equities working in a self-clearing broker-dealer and FCM Minimum 5+ years in senior management roles with direct responsibility for multiple operational areas Proven track record of successfully leading and developing teams of 15+ professionals across diverse operational functions Bachelor's degree in Finance, Business Administration, Economics, or related field; MBA or advanced degree strongly preferred Regulatory & Professional Certifications Series 7, Series 24 required; Series 4 and additional registrations preferred Deep knowledge of SEC, FINRA, CFTC, and OCC regulations and compliance requirements Experience with regulatory examinations, audit management, and compliance program development Technical & Analytical Skills Advanced proficiency in operational systems, trade processing platforms, and clearing technologies Strong analytical and problem-solving capabilities with experience in process improvement methodologies Proficiency in SQL, Python, Power Automate, or other automation and data analysis tools Expert-level Microsoft Office skills, particularly Excel for complex financial analysis and reporting Experience with project management methodologies and enterprise risk management frameworks Leadership & Communication Exceptional leadership skills with demonstrated ability to inspire, develop, and retain high-performing teams Outstanding communication and presentation skills for internal stakeholders and regulatory interactions Strong strategic thinking and business acumen with ability to translate operational insights into business opportunities Proven change management and organizational development experience Absolute integrity with strong ethical standards and commitment to regulatory compliance Preferred Qualifications Experience with equity options and fixed income operations Background in operational technology implementations and digital transformation initiatives Experience with mergers, acquisitions, or significant business expansion projects Professional certifications in project management (PMP), risk management (FRM), or operations management Seniority level

Seniority level Executive Employment type

Employment type Full-time Job function

Job function Finance Referrals increase your chances of interviewing at Revel IT by 2x Inferred from the description for this job

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