Broadridge

Director of Operations - P&S and Options

Broadridge$135K — $160K *
Finance & Insurance
5 - 7 years of experience
Job Overview by Ladders

Qualifications

  • Bachelor’s degree in Finance, Business Administration, Economics, or related field; advanced degree preferred.
  • Significant experience in leading global trade support or securities operations.
  • Strong knowledge of Equity, Fixed Income, Options, and post-trade operational processes.
  • Demonstrated experience in operational risk management and regulatory compliance.
  • Proven ability to manage complex operational environments and lead global teams.
  • Exceptional client relationship management and communication skills.

Responsibilities

  • Lead Global Trade Support Operations across Equity, Fixed Income, and Options markets.
  • Oversee daily and weekly Options expiration processing for timely execution.
  • Review daily operational exceptions and drive timely resolution through escalation.
  • Evaluate and enhance the Operational Risk Framework for effective compliance and risk mitigation.
  • Manage client relationships to consistently exceed service level agreements (SLAs).
  • Monitor KPIs and provide trend analysis with actionable recommendations to management.
  • Identify operational efficiencies through technology and best practices.

Benefits

  • Opportunity to lead and drive process improvements in a global financial organization.
  • Exposure to high-stakes trading environments across multiple asset classes.
  • Collaborative workspace with a focus on operational excellence and continuous improvement.
  • Development opportunities, including advanced training and exposure to senior management.
  • Strong emphasis on employee engagement and fostering a culture of accountability.
Full Job Description
Position Summary

We are seeking an experienced and strategic leader to oversee our Global Trade Support Operations. This role is responsible for managing the day-to-day support of global trading activities across Equity, Fixed Income, and Options markets while ensuring operational excellence, regulatory compliance, risk management, and exceptional client service. The successful candidate will drive continuous process improvement, lead a high-performing global team, and partner with internal stakeholders to enhance operational efficiency and scalability.

Key Responsibilities

·Lead the Global Trade Support Operations function supporting Equity, Fixed Income, and Options trading activities across global markets.

·Oversee daily and weekly Options expiration processing, including monthly Saturday expirations, ensuring timely and accurate execution.

·Review daily operational exception volumes, prioritize issues, and drive timely resolution through appropriate escalation and follow-up.

·Evaluate and enhance the Operational Risk Framework to ensure effective controls, regulatory compliance, and risk mitigation.

·Manage day-to-day client relationships, ensuring service level agreements (SLAs) are consistently achieved and client expectations are exceeded.

·Monitor key performance indicators (KPIs) and operational metrics, providing monthly trend analysis and actionable recommendations to senior management.

·Analyze staffing models, workload drivers, and operational performance to optimize resource allocation and improve productivity.

·Identify and implement operational efficiencies by leveraging technology, automation, and industry best practices.

·Oversee operational business continuity planning, ensuring procedures and documentation remain current, comprehensive, and aligned with organizational standards.

·Develop, implement, and maintain Written Supervisory Procedures (WSPs) across the global operations team to support governance, compliance, and consistent execution.

·Foster a culture of accountability, continuous improvement, collaboration, and operational excellence across a geographically dispersed team.

Qualifications

·Bachelor’s degree in Finance, Business Administration, Economics, or a related field; advanced degree preferred.

·Significant experience leading global trade support or securities operations within the financial services industry.

·Strong knowledge of Equity, Fixed Income, Options, and post-trade operational processes.

·Demonstrated experience in operational risk management, regulatory compliance, and supervisory control frameworks.

·Proven ability to lead global teams and manage complex operational environments.

·Strong analytical skills with experience developing and interpreting operational metrics and performance trends.

·Experience driving process improvements, workflow optimization, and technology-enabled operational efficiencies.

·Exceptional client relationship management, communication, and stakeholder management skills.

·Strong organizational skills with the ability to manage multiple priorities in a fast-paced, deadline-driven environment.

Preferred Skills

·Knowledge of global securities markets and settlement practices.

·Experience implementing automation initiatives and operational transformation projects.

·Strong leadership, coaching, and change management capabilities.

·Ability to influence cross-functional partners and drive strategic initiatives across global organizations.

About Broadridge

Broadridge Financial Solutions, Inc. is a leading provider of investor communications and technology-driven solutions to banks, broker-dealers, asset and wealth managers and corporate issuers. With over 10,000 associates in 18 countries, Broadridge delivers the critical infrastructure that powers investing, corporate governance and communications to enable better financial lives. Broadridge is the leading provider of proxy services, handling more than 50% of the shares voted at the annual meetings of S&P 500 companies. The company also provides transaction processing services for fixed income, equity, and mutual funds, as well as technology solutions for wealth management.
Learn more about Broadridge
Size
13,704 employees
Market Cap
$15.9 billion
Industry
Net Income
$518.8 million
Founded
1962
5 Year Trend
+6.6%
Revenue
$4.6 billion
NASDAQ

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