Manager, Broker Dealer Operations
Core
Ensure execution and compliance of daily trading activities, define control environments, and build resilient operating rhythms for a high-stakes monitoring function.
Role type
Manager, Broker-Dealer Operations
Builds
Control frameworks, audit-ready documentation, incident response playbooks, and compliant trading workflows.
Domain
Financial Services / Securities Trading / Regulatory Compliance
Required skills
US banking operations, securities trading, Series 7/63/24 licenses, regulated high-risk money movement, risk assessment, audit leadership, AML/sanctions/fraud monitoring, cross-functional partnership
Preferred skills
escheatment program management, money market trading/settlement, SQL/data querying, AI deployment in control-heavy environments, external banking partner management
Responsibilities
Ensure accurate and compliant trading activities; create and maintain auditable processes; build control frameworks for trading validity; manage incident response and remediation playbooks; drive audit and regulatory findings to resolution; manage escheatment processes; partner with Compliance, Legal, and Product to strengthen controls.
Seniority
Manager, hands-on IC
