Chief Operating Officer
Next milestone for retail investing is market intelligence encapsulated by simplicity and investor - centricity.
Light Horse is on that mission to serve retail investors.
About the Role
We are looking for a Chief Operating Officer to join our venture.
The ideal candidate has tremendous experiences in the financial services industry, specifically growing & operating broker-dealer and/or investment advisor firm. This executive will be a knowledgeable, well-connected, and agile professional that drives our long term growth with budget in mind.
The role covers areas such as product development & management, business development, service operations as well as general support of the entire business.
Product Owner: own, manage & monitor the company overall product strategies and development
Performance Manager: Design, implement & monitor OKRs to keep the growth on track
Business Support: Support the Company’s business by providing oversight, guidance & challenge in the identification of risk, management & monitoring of day-to-day operation activities
Operations Management: Oversight of all brokerage operations and key performance metrics/operational efficiency including trading, account support and management and financial operations etc.
Maintain essential internal relationships with the Company’s cross functional partners including:
Trading: Ensure overall integrity of trading system, monitoring key order metrics such as user account application process, and remediating issues or needed enhancements as identified.
Leadership: Escalate to & report significant broker-dealer issues; inform of new & emerging compliance risks; understand changes to overall broker dealer strategy & budgets
Compliance: Work closely with CCO, inform of possible issues as appropriate and engage as needed for regulatory advice on brokerage matters.
Financials: Oversight of monthly net capital computations and functions performed by the Financial Operations Principal (FinOp) including net capital sufficiency, operations funding, and reviewing events which may impact net capital going forward.
Partner Growth & Management:
Maintain and develop all partner relationships and related commercial agreements including but not limited to clearing broker, vendors, market exchanges and data service providers.
Sourcing and initial diligence of vendors.
Perform annual due-diligence reviews of partners including an annual onsite review of carrying / clearing broker
HR: assembling the most fit talents within the team that drives growth
10+ years of experience in financial services including experience leading a retail, introducing or carrying brokerage required
FINRA Licenses: Series 24, Series 63 and Series 7 required. Series 65 / 66 preferred
Management of key operational teams within a broker-dealer environment including Account Support, Trade Processing, Financial Operations and Supervision/Oversight
SEC/FINRA regulatory knowledge and reporting requirements. Well versed and experienced with FINRA regulators and related examinations, engagements, on-sites and reviews
Experienced in working closely with a broker dealer’s Financial Operations (FinOp) lead and Compliance Officer (CCO) in support of firm operations
Familiar with a broker dealer’s annual certification under FINRA Rule 3130
Excellent verbal and written communication skills
Good track records of growing retail broker/financial advisor business
Strong networks in financial industry
Nice to have:
Experience operating a registered investment advisory (RIA) a plus, but not required
Track records of growing digital products
Start-up working experience
Competitive salary + bonus + equity
401(k) participation with employer match
comprehensive health coverage
6 days ago
New york, Ny
Light Horse Market Solutions Inc
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