Operations Supervisor - Broker Dealer

Banco Itaú (Suisse) SA•Miami, FL

12h•Hybrid

About The Position

The Operations Supervisor - Broker Dealer leads the function with full accountability for daily operations, controls, and strategic execution. This role goes beyond oversight and requires a leader who can navigate operational complexity, drive transformation, and build scalable solutions within our operating model. The environment includes high operational complexity, systems, as well as a hybrid operating model across locations. The selected candidate must be comfortable operating within this structure and be motivated to optimize, enhance, and evolve it.

Requirements

Bachelor’s degree required
Series 99 or 7 License
Minimum 5+ years of experience in custody, securities operations, or similar environment.
Previous Supervisory experience.
Strong knowledge of securities, derivatives, and settlement processes
Advanced Excel and data analysis skills
Sees opportunity in complex, non traditional operating models rather than constraints
Proven ability to drive efficiency, reduce manual processes, and improve fragmented environments
Demonstrated experience building processes, controls, or frameworks from the ground up
Strong innovation mindset with focus on continuous improvement and scalable solutions
Comfortable operating in environments with multiple systems and operational complexity
Ability to challenge the status quo while maintaining strong risk and control discipline
High ownership mentality with focus on execution and results
Motivated to contribute to and shape the evolution of the operating model

Nice To Haves

Master’s preferred

Responsibilities

Supervise end-to-end custody operations, including settlements, margin controls, FX, derivatives (listed and OTC), and related activities
Oversee trade lifecycle from execution to settlement, ensuring accuracy, timeliness, and proper booking across systems
Monitor and resolve unmatched and failed trades, including complex trade corrections
Review broker statements, commissions, and payments
Ensure compliance with regulatory reporting requirements and internal policies
Escalate operational risks, discrepancies, and unusual activity in a timely manner
Lead initiatives to reduce manual processing and reliance on multiple systems, spreadsheets, and workarounds
Identify and implement automation opportunities and process simplification strategies
Redesign workflows to address operational inefficiencies, particularly in complex account structures (e.g., COD) and settlement processes
Establish KPIs and reporting to track efficiency, quality, and processing times
Drive measurable improvements in control environment and operational performance
Take ownership of building and enhancing processes within a complex and evolving operating model
Design and implement scalable workflows, controls, and procedures where gaps currently exist
Address structural challenges in the current setup (e.g., trade corrections, settlements, system fragmentation) through practical and controlled solutions
Support and lead transformation initiatives, including system enhancements and process standardization
Act as a change leader to ensure adoption of new processes and continuous evolution of the operating model
Effectively operate within and optimize a hybrid Miami / global hub model, ensuring alignment and efficiency across teams
Partner with global teams to streamline processes and improve coordination despite structural complexities
Establish and monitor key risk indicators (KRIs) and early warning signals
Ensure strong audit trail, documentation, and adherence to internal controls
Maintain and enhance policies and procedures to align with evolving processes
Ensure compliance with AML/BSA and internal governance standards
Supervise and develop the custody team, driving accountability and performance
Partner with Trading, Treasury, Technology, Compliance, and external counterparties
Provide clear and concise reporting to senior management on risks, issues, and initiatives
Act as a key escalation point for complex operational challenges