Brokerage Operations Manager
$140,000–$160,000 year
RemoteUnited States
Job Summary
Lead and develop a team through coaching, prioritization, and performance management while supervising daily brokerage operations workflows. Own end-to-end processing of cash, position, and trading reconciliations, ACATS transfers, margin operations, account maintenance, and tax reporting. Partner with Legal, Compliance, Product, and Engineering to establish risk indicators, develop middle office procedures, and lead automation initiatives to scale capacity. Support regulatory examinations, audits, and ad hoc reporting requests. This role requires 7–10 years of brokerage experience with self-clearing expertise and Series 7/24 licenses. Salary range is $140,000–$160,000.
Required Qualifications
- 7–10 years of brokerage or securities operations experience
- at least 3–5 years managing teams of 5 or more
- Self-clearing experience
- direct familiarity with DTC, NSCC, and clearing infrastructure
- Hands-on experience across trading operations, margin, ACATS/transfers, account maintenance, and tax reporting
- Deep understanding of the full trade lifecycle and settlement mechanics for equities, ETFs, and other instruments
- Strong working knowledge of FINRA and SEC regulatory requirements applicable to broker dealer operations
- Series 7
- Series 24
Desired Qualifications
- direct familiarity with DTC, NSCC, and clearing infrastructure
- Series 57
- Advanced proficiency in Excel
- intermediate SQL skills
- Proven experience leveraging AI tools and automation to drive operational efficiency and scale team output
- Excellent written and verbal communication skills
- ability to work cross-functionally with compliance, finance, product, and technology teams
- Experience at a self-clearing fintech or technology-driven broker dealer
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