BULLETIN: COO Employment Opportunity

October 9, 2009




RE: BrokeAndBroker.com091009COO

Chief Operating Officer - Broker Dealer

  • Multi Billion Dollar Broker Dealer experience is required.
  • Client is described by recruiter as an industry leading household name.
  • Relocation to a desirable Midwest location is fully covered.


  • Experienced executive is needed to lead all operational functions for affiliated distribution channels, processing, third party product processing, and services for trading accounts. 
  • Drive efficiencies through leveraging technology and reengineering processes with a major emphasis on service quality. 
  • Lead strategy development for business processes and technology enablement in support of business initiatives. 
  • Responsible for developing and implementation of a redesign of processes for the retail broker dealer including commissions, services, and the model office functions in the field. 
  • Oversee team projects to ensure alignment and coordination of resources Creates budgets and work plans. 
  • 10-15 years of operations management experience in a financial services broker dealer. 

Education: Undergraduate studies in Business Administration, Marketing, Finance or a related field.

Certification: NASD Series 7, 24, 65. Professional insurance designations are desirable but not required.

Compensation: Compensation package will be tailored appropriately to the desired candidate. Base salary + short term bonus + long term bonus for a good six figure income. Strong executive level benefits package and a full relocation package.

If qualified, please send your resume or detailed letter (Note RE: BrokeAndBroker.com091009COO in the first line of your message) describing your background in Word format to