General Description

The Business Operations Officer (BOO) supports the unit’s operational integrity by overseeing critical operational processes that intersect with supervisory review, books and records, and regulatory compliance. The role helps route and validate documentation, monitors communications and transactions for exceptions, supports audits and regulatory requests, and contributes to the maintenance of policies and procedures. The role partners closely with Operations, Sales, and the Principal Review Desk to ensure effective workflows, timely approvals, strong controls, and compliance with regulatory and internal supervisory standards. The BOO also drives process standardization and automation initiatives, defines operational metrics, and provides reporting and dashboards to enhance management visibility and decision-making.

Essential Duties and Responsibilities

Review/approve transactions for suitability (daily trade review/approval for fixed income, mutual funds, UITs, and structured products; ensure recommendations align with client profile and suitability requirements; monitor transactions/claims and escalate issues).
Support regulatory compliance and risk monitoring (help ensure adherence to FINRA/SEC and internal standards; identify potential violations/control failures; escalate suspicious activity; assist with audits and regulatory document requests; help maintain Written Supervisory Procedures (WSPs).
Support Principal Review Desk (PRD) operations and supervisory workflows (route approvals through correct workflows; perform pre-review/quality control of account documents with authority to accept/reject prior to principal escalation; prioritize daily workload across Operations/Sales/Management).
Drive operational efficiency and automation projects (partner with management on new technology/automated workflows; document milestones; assign tasks to stakeholders; identify bottlenecks/redundancies; standardize processes; define and track KPIs; build management dashboards).
Provide administrative and communications support (coordinate special events, seminars, and virtual events; develop internal newsletters; support employee training tied to new processes/regulations).
Perform surveillance of electronic communications (review emails/IMs for red flags; escalate items requiring supervisory review/action; support internal investigations as needed).
Serve as an administrator and platform champion (ex. Wealthscape/Wealthscape Investor; Protegent, Bloomberg Vault, Global Relay, FIS), train/coach others; configurate users’ segmentation/segregation and reports.

Education

Bachelor’s Degree in Business-Related Specialty

Experience

At least 2 years of experience in work related to broker-dealers, registered investment advisors (RIAs) or financial industry preferred.

Certifications / Licenses

FINRA Serie 7, and 24 (highly recommended or studying to obtain them)

Other Qualifications

Excellent time management skills.
Strong oral and written communication sills (English and Spanish) and interpersonal skills.
High energy and ability to work both independently and across multiple teams in very fast growth environment.
Technology proficiency.
Detailed oriented and able to take initiative.

Values

1. Passion for People

3. Succeed Together

2. Own Every Moment

4. Build the Future

Important: The candidate must provide evidence of academic preparation or courses related to the job posting, if necessary.

Our hybrid work model benefit applies to certain positions and is subject to changes based on the organizational needs.

Applicants must be authorized to work for any employer in the United States. This position is not open to applicants who need visa sponsorship or transfer of visa sponsorship at this time.

ABOUT US

Popular is Puerto Rico’s leading financial institution and have been evolving since it was founded over a century ago. From a small bank it has developed into a large corporation that offer a wide variety of services and financial solutions to our customers, with presence in the United States, the Caribbean and Latin America.

As employees, we are dedicated to making our customers dreams come true by offering financial solutions in each stage of their life. Our extensive trajectory demonstrates the resiliency and determination of our employees to innovate, reach for the right solutions and strongly support the communities we serve; therefore, we value their diverse skills, experiences and backgrounds.

We reaffirm our commitment to always offer essential financial services and solutions for our customers and communities, including during emergency situations and/or natural disasters. Popular’s employees are considered essential workers, whose role is critical in the continuity of these important services even under such circumstances. By applying to this position, you acknowledge that Popular may require your services during and immediately after any such events.

If you have a disability or need more information about requesting an accommodation, please contact us at asesorialaboral@popular.com. This email inbox is monitored for such types of requests only. All information you provide will be kept confidential and will be used only to the extent required to provide needed exemptions or reasonable accommodations. Any other correspondence will not receive a response.

Are you ready for a rewarding career?

Popular is an Equal Opportunity Employer, including Disability/Vets
Learn more about us at www.popular.com and keep updated with our latest job postings at www.jobs.popular.com.

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Business Operations Officer