Chief Operating Officer (Chicago) Job at Jobvertise.com - Jobboard, Chicago, IL

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  • Jobvertise.com - Jobboard
  • Chicago, IL

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,

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