Director of Operations

Company Description

Longbridge US is a new-generation socially-driven online brokerage firm that aims to provide every investor with better investment tools for U.S. and Hong Kong stocks. Outside of the US, the firm conducts businesses in Singapore, New Zealand, Hong Kong and China. Longbridge is dedicated to driving financial technology innovation and bringing innovative technology and concepts to the fintech industry in the US.

Role Description

We are seeking a visionary and experienced Director of Operations to join our leadership team at Long Bridge Securities, a FINRA-licensed retail broker-dealer firm. The Director will be responsible for overseeing the day-to-day operations, ensuring efficiency, compliance, and a commitment to client success. The ideal candidate will have a strong background in operational management within retail brokerage, entrepreneurial mindset, a thorough understanding of broker-dealer business, and a passion for helping clients achieve better financial experience through technology.

Key Responsibilities:

• Resource and Team Management: Ensure the firm is equipped with the right resources to achieve its objectives, and lead the operations team across different product lines. Cultivate and strengthen talent through training, diversity, employee mobility, and fostering an engaged work environment. Grow your team.
• Operational Excellence: Oversee and continuously improve the firm’s operations to meet the highest regulatory standards (including SEC and FINRA requirements) and industry best practices. Ensure compliance with internal and external regulations, establish robust escalation procedures, and implement appropriate controls. Work closely with marketing, product, and other internal teams to ensure alignment on operational efficiency and the seamless delivery of services, supporting the firm’s growth and client satisfaction initiatives.
• Risk and Compliance: Conduct regular business reviews to identify and manage risks effectively. Collaborate with business risk management to ensure operational controls and procedures support the firm’s growth objectives while mitigating potential risks.
• Product Development Collaboration: Partner closely with product development teams to transform innovative ideas into market-leading products. Identify business opportunities based on market trends, client needs, and regulatory developments, driving initiatives that capitalize on these opportunities.
• Client and Market Opportunity Identification: Leverage market insights to identify and pursue new business opportunities. Develop and implement growth strategies that align with corporate objectives, expanding the firm’s footprint in domestic markets.
• Performance Monitoring: Create and monitor annual performance priorities and quantifiable metrics to continually assess and enhance team and business performance, ensuring operational efficiency and high standards are consistently maintained.

The ideal candidate will be a leader capable of implementing executive strategies, transforming innovative concepts into successful products, and driving the firm towards its strategic goals while ensuring operational integrity and compliance.

Qualifications:

• Proven experience in a Director/VP or Senior Manager role, or a similar leadership role in a retail broker-dealer firm.

• In-depth understanding of retail broker-dealer operations, including compliance, risk management, customer service, and regulatory standards (e.g., FINRA rules).

• Strong leadership and communication skills, with experience in building and managing high-performing teams.

• Strategic mindset, with the ability to balance operational efficiency and regulatory compliance while driving growth.

• Proficiency with client management and operational tools, and a commitment to maintaining excellent communication standards.

• Ability to thrive in a fast-paced, dynamic environment, focused on continuous improvement and client success.

• Must hold FINRA Series 24. Preferred to also have Series 4, 27, or 79.

Why Join Us?

• Impact: Play a key role in shaping the future of our company as we transform the way individuals and businesses access financial services.

• Growth: Join a rapidly growing firm with significant opportunities for professional development and career advancement.

• Culture: Work in a startup environment that is collaborative and supportive where your contributions are valued, and you have the autonomy to lead and innovate.

How to Apply:

• If you’re an experienced leader passionate about operational excellence, compliance, and client success, we want to hear from you. Please submit your resume and cover letter detailing your experience and why you’re the perfect fit!