Head of Listed Options Operations and Client Service (Chicago-Based)
Chicago, Illinois
Customer Care – Customer Experience /
Full-time /
On-site
Foris Capital US LLC* is seeking an experienced options professional to join our FINRAmember broker/dealer and grow the regulated securities business of Crypto.com. This role will require you to advance the strategic and business objectives of the broker/dealer by overseeing the build of a platform aimed at self-service retail options investors. After launch, you will be responsible for overseeing the day-to-day operations of the options business.
The successful candidate will have extensive options experience and knowledge related to options trading, settlement & clearing, along with proven experience in managing exercises, assignments, and expiration. Experience working with Apex Clearing is a plus. FINRA Series 24, 7, and 4 licenses are required, along with a history of supervising registered representatives. This role presents a unique opportunity to help operate a new business line as part of the overall Crypto.com enterprise
$0 - $0 a year
Responsibilities
- Oversee the operational and technology activities of the securities business to provide customers access to regulated options products;
- Work closely with operations, technology, risk, legal and compliance teams to complete build and launch of the options platform;
- Oversee day-to-day operational compliance of the broker/dealer with FINRA regulatory requirements;
- Manage the formation, training and supervision of an options client service group who will be the face of the firm to our customers;
- Build and maintain strong relationships and be the point of contact for key partners, vendors and stakeholders;
- Liaise with industry regulatory bodies and ensure all requirements, including daily and monthly reporting are completed.
Requirements and skills
- Proven experience in a managerial position in the FINRA-regulated securities industry;
- FINRA Series 7, 4, and 24 with direct supervision experience;
- Clean regulatory record with no Disclosure Events;
- Experience in the operations of a broker/dealer and connectivity to clearing brokers, exchanges, and market infrastructure;
- Experience working with Apex Clearing is a plus;
- Familiarity with diverse business functions such as operations, technology, risk, marketing, sales, finance, etc;
- In-depth knowledge of regulated options workflows & processes including margin accounts, simple and complex options settlement, exercise, and expiration; and the cross-border offering of such products from the US.
- An entrepreneurial mindset with outstanding organizational, problem-solving, operational, and technology skills;
- Excellent communication and public speaking skills;
- The role is in-office with hybrid possibilities, located in Chicago.
Foris Capital US LLC is a broker-dealer registered with the Securities Exchange Commission and a Member of FINRA and SIPC. Foris Capital is a separate entity from Crypto.com, Foris DAX, Inc., and other affiliated Foris companies. Foris Capital does not engage in the sale, transfer or custody of cryptocurrencies or digital assets. Crypto.com is a separate entity from Foris Capital and does not engage in the securities business. Customer balances and crypto holdings are held and transacted at Crypto.com and other entities outside of Foris Capital are not covered by SIPC insurance and are separate from securities transactions and holdings at Foris Capital. For further information please visit FINRA BrokerCheck.
