Front Office Brokerage Operations Lead
$163,600–$245,400 year
Remote · California, United States or US
Job Summary
Front Office Brokerage Operations Lead overseeing FINRA-regulated frontline brokerage operations, including supervisory authority over registered personnel, regulatory complaint governance, and AI-assisted workflows. Leads a team spanning quality management, complaints, service, and process engineering; focuses on ensuring regulatory compliance, accountable sign-off for records, and scalable operation within a broker-dealer environment. Emphasizes AI-enabled automation with human-in-the-loop oversight, supervision of high-exposure escalation workflows (ATOs, identity theft, deceased accounts, POA), and partner/vendor performance in a regulated setting.
Required Qualifications
- FINRA Licenses: Series 7, 63, and Series 24 (active and in good standing)
- 5+ years of experience in brokerage operations or financial services
- 3+ years of direct people leadership experience in a regulated financial environment
- Strong understanding of FINRA supervisory requirements
- Experience managing regulatory complaint programs
- Strong analytical skills with data-driven decision-making
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