Business Operations Officer

About the role

The Business Operations Officer (BOO) ensures the operational integrity of our financial services unit in San Juan. Working closely with Operations, Sales and the Principal Review Desk, the BOO oversees transaction reviews, regulatory compliance and process automation to support efficient, controlled workflows.

Key responsibilities

• Review and approve daily transactions for fixed income, mutual funds, UITs and structured products, ensuring suitability and client alignment.
• Support FINRA/SEC compliance by identifying potential violations, escalating suspicious activity and assisting with audits and regulatory requests.
• Manage Principal Review Desk workflows, perform pre‑review quality control of account documents and prioritize daily workload across teams.
• Lead operational efficiency projects, document milestones, assign tasks, eliminate bottlenecks and develop KPI dashboards.
• Coordinate internal communications, events and newsletters, and provide training on new processes and regulations.
• Monitor electronic communications for red‑flag content and support internal investigations.
• Administer and champion platforms such as Wealthscape, Protegent, Bloomberg Vault, Global Relay and FIS, including user configuration and reporting.

Required profile

• Bachelor’s degree in a business‑related field.
• Minimum of 2 years experience in broker‑dealer, RIA or broader financial‑industry environments.
• FINRA Series 7 and 24 licenses highly recommended or in progress.

Required skills

• Wealthscape / Wealthscape Investor
• Protegent
• Bloomberg Vault
• Global Relay
• FIS platform