Brokerage Operations Lead

Responsibilities

• Own and operate the day-to-day brokerage operations across OnePay Invest and Crypto, ensuring accurate, timely, and compliant execution across the full trade and asset lifecycle
• Supervise brokerage operations as a designated principal (Series 24), ensuring adherence to SEC/FINRA regulations, WSPs, and internal controls
• Serve as the primary US-based escalation point, leading resolution of trade breaks, incidents, and real-time operational issues
• Partner closely with the India-based Brokerage Operations Lead to provide continuous operational coverage, share oversight of daily operations, and ensure consistency across regions
• Oversee and manage core brokerage functions, including trade corrections, settlements, reconciliations, money movement, and transfers (ACATS)
• Oversee corporate actions and asset servicing, ensuring accuracy and timeliness across dividends, splits, and other trade related events
• Monitor operational health and performance, including exception queues, customer support volumes, and proactively address risks
• Act as the primary liaison with clearing broker-dealer and crypto partners, ensuring seamless execution, issue resolution, and continuous improvement
• Build error management frameworks and partner with Product and Engineering on workflow automation; optimize the build using AI tools such as Claude, Gemini and many more with unlimited tokens

Requirements

• 7+ years of brokerage or trading operations experience (fintech or broker-dealer preferred)
• Active FINRA licenses: Series 7, 63, and 24 (required)
• Experience as a supervisory principal with direct ownership of brokerage operations
• Experience operating in a follow-the-sun or global operations model, with shared ownership across regions
• Experience building processes and automations with AI tools
• Deep knowledge of:
  • Trade lifecycle (execution → settlement → reconciliation)
  • Corporate actions, transfers (ACATS), and money movement
  • SEC / FINRA regulations and operational risk controls
• Proven ability to run day-to-day operations in a high-volume, real-time environment
• Experience managing incidents, escalations, and customer-impacting issues
• Strong systems thinker with a track record of building scalable processes and tooling
• Ability to operate as a hands-on leader and operator
• Excellent cross-functional collaboration skills across Product, Engineering, Compliance, and CX
• Comfort in fast-paced, ambiguous environments with a bias for action and ownership

Nice-to-Haves

• Experience leveraging AI tools (Claude, Gemini, etc.) for workflow automation and process optimization