Project Manager, Risk Manager​/Analyst, Regulatory Compliance Specialist

Our Client is seeking a highly skilled, execution-oriented Senior Project Manager to spearhead the strategic build‑out and launch of their new US Broker‑Dealer (BD). Fully affiliated with the Bank and operating alongside their established Registered Investment Advisor (RIA) in Miami, this new entity will serve as a critical pillar of their US and international wealth management strategy.

The ideal candidate possesses a rare blend of rigorous project management expertise, deep knowledge of the US broker‑dealer regulatory and operational landscape, and the cultural fluency to bridge communication between their Miami hub and their European parent bank. You will own the project lifecycle from structural design and FINRA/SEC application phases through to operational readiness and go‑live.

• End-to-End Ownership:
  Define project scope, create detailed work streams, and manage the master timeline for the complete setup of the US Broker‑Dealer.
• Stakeholder Management:
  Act as the central liaison between the Miami project team, the existing RIA leadership, and the BANK’S European corporate stakeholders.
• Risk & Issue Management:
  Proactively identify project bottlenecks, regulatory hurdles, or resource constraints, and implement swift mitigation strategies.

• Regulatory Work streams:
  Partner with legal and compliance teams and external consultants to track and support the FINRA New Membership Application (NMA) and SEC registration processes.
• Vendor & Technology Selection:
  Coordinate the evaluation, selection, and implementation of the BD vendor and tech stacks, Order Management Systems and Portfolio Management Systems, and including clearing/custody platforms (Pershing LLC) and compliance surveillance tools.
• Operations & Workflow Design:
  Assist in establishing operational workflows, Written Supervisory Procedures (WSPs), and cross‑entity operational synergies between the new BD and the existing RIA.

• Project Management Expertise:
  Minimum of 5 years of formal project management experience.
• PMP, Agile, or Prince2 certification (or equivalent experience) is highly preferred.
• Broker-Dealer Acumen:
  Experience working within or launching a US Broker‑Dealer. You must understand FINRA/SEC frameworks, clearing firm dynamics (e.g., Pershing), and standard BD operations.
• Bilingual Proficiency:
  Fluency in both English and Spanish required. You must be comfortable conducting business discussions, writing documentation, and presenting in both languages.
• Corporate Navigational
  
  Skills:
  
  Experience working within a global or European banking structure is highly desirable; you should understand how to align local US initiatives with international corporate governance.

• FINRA Licensing:
  An active FINRA Series 7 license is highly desired and considered a strong asset, though it is not a mandatory prerequisite for selection.
• The "Builder" Mindset:
  Comfortable navigating ambiguity and creating structure where none exists.
• Diplomacy & Influence:
  Ability to manage matrixed reporting lines and influence senior executives across different time zones and cultures.
• Financial Literacy:
  Solid understanding of wealth management products, advisory vs. brokerage models, and financial compliance.