MTF Senior Operations Manager
Securitize is a global fintech, Top 50 blockchain company, with a mission to provide investors with access to invest in and trade alternative assets, and for companies to raise capital and offer shareholder's liquidity. Securitize has pioneered a fully digital, regulatory compliant, end-to-end platform for issuing, managing and trading digital asset securities (also known as security tokens), with over 200 businesses and nearly 400,000 investors already connected, and nearly $500 million in current-value digital asset securities issued on the Securitize platform.
We are a well-funded global team made up of top blockchain and financial industry talent based around the world, based in Tel Aviv, Buenos Aires, Tokyo, New York, and San Francisco. We’re backed by leading financial institutions and blockchain investors, including Morgan Stanley, Blockchain Capital, MUFG, Sumitomo Mitsui Trust Bank, Sony Finance, Banco Santander, and Coinbase.
This role is based in Madrid, Spain, and offers the flexibility of remote work. Please note that residing in Spain is a requirement for this position.
As the MTF Senior Operations Manager within the broker-dealer role, you will oversee ATS trade reporting and manage operations related to secondary market asset onboarding. You will partner with Compliance to ensure operational requirements, specifically those related to broker-dealer activities, are met. Additionally, you will collaborate with the Product team to enhance the ATS and investor trading applications. Your responsibilities will also include developing operational procedures and fostering positive relationships with cross-functional partners. Ultimately, you will be accountable for achieving operational objectives and continuously improving operational controls within the broker-dealer context.
- Oversee ATS trade reporting (OATS, CAT, ORF, and TRACE)
- Manage ATS operations and secondary market asset onboarding process
- Facilitate new account approval process and review for new investor accounts
- Manage service desk requests from customers and internal partners (Zendesk)
- Work with Sales team onboarding new companies thru due diligence process
- Partner with Compliance as it relates to operational requirements (like CIP, AML, KYC, Suitability, and Accreditation)
- Work with the Product team on enhancements for ATS and investor trading applications
- Assist leadership with the development of operational plans and the overall strategic direction of the operations group
- Be accountable for the achievement of operational objectives as they align with our strategy and company
- Be responsible for the execution of end-to-end operating procedures, assess controls and processes in the areas of brokerage operations
- Develop operational procedures outlined in areas such as written supervisory procedures (WSP), company-specific operational requirements for with SEC, FINRA, federal and state regulations
- Work on executive reporting and facilitate internal and external communications, including interactions with investors, issuers, and regulators
- Commit to continuous skills and knowledge development regarding broker-dealer operational trends, emerging risks, and operational tools and techniques
- Advocate for and implement continuous improvement of our operational controls
- Build strong and positive relationships with product, engineering, and cross-functional partners
- Partner on continuous development and enhancement of operational practice to align with the overall objective and goals of the firm (including the development of frameworks, metrics, procedures, partnerships, communications, and training programs).
- Bachelor’s degree in a relevant field
- SIE, Series 7, and Series 24
- Must have at least 8 years of experience in broker-dealer operations
- Experience with Alternative Trading Systems (or ECN) dealing with equities
- Experience with primary and secondary offerings of private equity (Reg A+, Reg A, Reg D, and Reg S) a plus
- In-depth knowledge and understanding of FINRA, SEC and other applicable broker-dealer regulations
- Experience opening new accounts, trade reporting, KYC, and AML compliance procedures is preferred.
- Build positive relationships and have strong communication skills
- Have a strong focus on quality and attention to details
- Independently operate in a fast-paced, dynamic environment while leading multiple projects and initiatives