Broker-Dealer Operations Manager

Responsibilities

• Establish the foundational operational objectives, policies, procedures, and work plans for a carrying broker-dealer.
• Design scalable processes for customer money movement and trade clearing.
• Serve as the final authority on operational exceptions, including payment releases, ACH reversals, securities settlement breaks, and net-capital discrepancies.
• Architect and maintain an audit-ready operational control environment and Internal Controls Over Compliance (ICOC).
• Ensure transaction data integrity for financial reporting and annual PCAOB audits.
• Partner with Engineering, Product, Legal, Compliance, FinOp, Accounting, and FP&A to build broker-dealer operations and support investment-product expansion.
• Establish team direction, manage costs, optimize headcount and AI-agent ROI, and oversee performance management and professional development.

Requirements

• 10+ years of experience in financial operations, treasury, compliance operations, process optimization, or back-office roles within financial services or fintech.
• At least 5 years in project leadership or people-management roles.
• Current FINRA SIE, Series 7, and Series 24 licenses, or ability to obtain SIE and Series 7 within two months and Series 24 within four months of starting.
• Knowledge of SEC Rule 15c3-1, SEC Rule 15c3-3, and SEC Rules 17a-3 and 17a-4.
• Experience performing and overseeing complex reconciliations and transaction research.
• Comfort with analytical tools, banking technology, clearing technology, and financial data/reporting systems.
• Exceptional organization and attention to detail across daily, monthly, and quarterly operational cycles.
• Demonstrated ability to use AI for defined operational tasks, prompting, output evaluation, tool-integrated agents, and efficiency improvements.
• Ability to collaborate with cross-functional stakeholders, external partners, and regulators.
• Bachelor's degree in Finance, Accounting, Business, or a related field.

Nice-to-haves

• Knowledge of cash and securities handling, settlement processes, and regulatory reporting requirements.

Compensation

• Denver, Colorado: $150,640–$177,000 annual cash compensation.
• New York, New York: $177,020–$208,000 annual cash compensation.
• Full-time employees receive benefits and equity (RSUs).
• Typical schedule is 9:00 a.m.–5:00 p.m. local time; Denver-based employees may occasionally start at 9:30 a.m. Eastern Time.
• Employees based in Denver and New York generally work from the office 2–3 days per week or more depending on the role.