Company Description A.G.P./Alliance Global Partners is a full-service, national investment firm and SEC-registered broker-dealer operating since 1980. With more than a dozen locations across the United States and a global reach, the firm serves wealth management, institutional, and corporate clients. A.G.P. provides a broad range of services, including investment advisory, fixed income, retail services and insurance, equity and debt capital markets, M&A, and sales and trading, supported by sector-based research. The firm has participated in over $20 billion in capital markets transactions as lead manager, co-manager, or syndicate member and has completed more than 300 public offerings as a deal manager. Candidates can expect to join an established and growing platform with diversified products and a strong transaction track record.
Role Description The Head of Operations – AGP Prime Division is a full-time, on-site role based in the New York City Metropolitan Area. This role oversees day-to-day operational activities for the Prime Division, including trade processing, settlement, reconciliations, collateral and margin management, and client service support. The individual will design, implement, and refine operational workflows, policies, and controls to support scalable, efficient, and compliant prime brokerage operations. Responsibilities include collaborating with front office, risk, compliance, technology, and finance teams to optimize processes, resolve operational issues, and support new product or service launches. The Head of Operations will lead and mentor operations staff, manage vendor and clearing relationships, track key performance metrics, and drive continuous improvement and risk mitigation across the division.
Qualifications
- Strong operations management skills, including oversight of end-to-end processes, workflow optimization, and implementation of controls in a broker-dealer or prime brokerage environment.
- Demonstrated analytical skills to interpret complex data, monitor KPIs, assess risk, and support strategic decision-making for the Prime Division.
- Proven team management capabilities, including hiring, coaching, performance management, and creating a collaborative, high-accountability culture.
- Excellent communication skills, with the ability to partner effectively with senior leadership, front office, risk, compliance, technology, and external stakeholders.
- Budgeting and financial management skills to plan, track, and optimize operational expenses and resource allocations.
- Extensive experience in financial services operations; prior experience in prime brokerage, clearing, or custody operations strongly preferred.
- Thorough understanding of broker-dealer regulations, operational risk, and industry best practices, particularly related to prime services.
- Bachelor’s degree in Business, Finance, Economics, or a related field; advanced degree or relevant professional certifications (e.g., FINRA licenses, CFA, CPA) are a plus.