Head of Operations
Overview

Since its founding in 2017, Prometheum has leveraged its deep expertise in securities law, blockchain and trading to create a compliant ecosystem for digital asset securities that enables all investors to seamlessly invest in digital assets securities. Prometheum has relied on its strong diverse team to build the tools to service digital asset securities. To date, Prometheum has built multiple broker-dealers traversing novel areas and a large technology stack (intersecting trading, blockchain, compliance, etc.). We continue to grow and are looking for hardworking individuals that can contribute to our already great fintech company culture as we traverse new and exciting areas that require a thirst for solving complicated problems.

Responsibilities
  • Providing direct leadership and management to the securities Middle and Back Office operations, including outsourced activities.
  • Manage the day to day back-office operations including supervising and coaching associates, monitoring metrics, and ensuring adherence to performance standards.
  • Daily management and supervision of the operational cycle of digital asset securities, including trade capture, clearance and settlement Provide daily operational supervision of all transactions.
  • Responsible for maintaining on a daily basis all standing data for necessary processing in the Middle and Back Office Systems and working with the Front Office, Finance, IT, Audit and Compliance to ensure daily integrity of data and adherence with all regulatory requirements for the broker dealer operations as well as any other requirements.
  • Facilitate the introduction of new business products by ensuring proper deal capture and settlement support within the operational setup and the regulatory framework.
  • Ensure compliance with policies, procedures and regulations.
  • Update policies and procedure manuals as necessary.
  • Monitor migration of duties to outsourced providers and continuously monitor the performance of the vendor relationship within the service level agreements.
  • Provide training and support to employees and outsourced vendors pertaining to new regulations, products, projects and industry trends.
  • Review and maintain integrity of Back Office Systems (Data Security and IT user access)
  • Lead, direct and implement key projects.
  • Assist vendor(s) and customers as necessary with investigations, inquiries and support.
  • When applicable, work with IT to streamline processes through automation.
  • Prepare monthly and quarterly reports (Analysis of Outsourced activity report, reconciliations, statistics, etc.)
  • Maintain Procedures, Policies and Systems for the departments.
  • Supervise and mitigate risks of the department through policy, process, and systems.
  • Provide Coaching and Professional Development to associates.
  • Maintain a high regulatory compliance environment.
  • This position is responsible for managing day-to-day inquiries from internal associates and financial representatives and responding to service-related inquiries and escalations.
  • Oversee the daily operations ensuring quality and regulatory compliance
  • Utilize knowledge of the broker dealer or securities business back-office environment to resolve issues relating to transactions and financial tracking.
  • Leverage knowledge of reporting to identify trends and patterns in workflows.
  • Responsible for the day-to-day management of a team of associates and accompanying functions.
  • Lead a high performing team through recruitment, development, engagement, and performance management.
  • Provide guidance to resolve escalated issues or concerns.
  • Ensure adherence to regulations, policies, and procedures.
  • Expertise in SEA Rule 15c3-3 Customer Protection (Possession or Control of Customer Fully Paid for Securities) and broker dealer operations.
  • Monitor daily operational activity and provide direction to meet service goals.
  • Measure associate productivity and performance metrics.
Qualifications
  • Experience dealing with regulators.
  • Strong organizational, communication and presentation skills.
  • Understand the conceptual content and possess institutional knowledge of clearance, custody of customer customer digital asset security transactions.
  • Series 27 FINRA License (FINOP) is required.
  • Ability to multi-task with accurate knowledge.
  • Adept at learning new functions.
  • Team oriented philosophy.
  • Ability to coach and mentor associates.
  • Lead problem solving and process Improvement Initiatives.
  • Bachelor’s degree or equivalent combination of education and experience required.
  • 5 years demonstrated experience within the financial services, broker dealer, or registered investment advisor field required.

Salary Range: $220,000 - $275,000

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Prometheum is an equal opportunity employer.