This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Broker Dealer Operations, Senior Associate based in United States.
This is a senior operations role supporting the operational infrastructure behind a U.S. equities brokerage business in a fast-paced financial services environment.
You will serve as a subject-matter expert across critical workflows involving customer accounts, trades, cash, positions, transfers, corporate actions, and regulatory reporting.
The role combines hands-on operational ownership with strong controls, reconciliation, exception management, and process improvement.
You will investigate complex issues, coordinate resolution across multiple teams, and strengthen the reliability and scalability of broker-dealer operations.
A key focus will be transforming recurring manual processes into durable workflows, improved tooling, and automation.
You will work closely with Engineering, Product, Compliance, Finance, Legal, Risk, Trading, Customer Experience, and external clearing partners.
This opportunity is ideal for an experienced financial operations professional who thrives in regulated environments and enjoys connecting operational expertise with technology and process innovation.
Accountabilities:
- Own recurring broker-dealer operations workflows across areas such as reconciliations, corporate actions, securities transfers, account maintenance, error processing, and regulatory reporting support.
- Perform daily reconciliations of orders, trades, positions, balances, and cash between internal records and clearing firm records, investigating breaks, identifying root causes, documenting findings, and driving issues through resolution.
- Independently manage complex operational exceptions and time-sensitive incidents, coordinating remediation across Engineering, Product, Trading, Customer Experience, Compliance, Finance, Legal, Risk, and external clearing partners.
- Prioritize operational incidents according to customer, financial, and regulatory impact while ensuring timely escalation and resolution.
- Create and maintain audit-ready SOPs, runbooks, control checklists, process maps, and other operational documentation that translate lessons learned into durable controls.
- Identify systemic failure modes and recurring operational weaknesses, leading process-improvement initiatives that reduce manual work and strengthen detection, recovery speed, and overall operational resilience.
- Partner with Product and Engineering teams to define operational requirements, test new functionality, validate launch readiness, and improve dashboards, tooling, alerts, and automation.
- Translate operational requirements into scalable workflows and technology solutions, ensuring new tools accurately address business needs and operational risks.
- Support the continuous improvement of broker-dealer processes by identifying opportunities to increase efficiency, control effectiveness, data quality, and scalability.
- Apply generative AI responsibly within operational workflows, maintaining appropriate human oversight while using technology to improve efficiency, cost, quality, and execution.
Requirements
- 5+ years of experience in financial services operations, broker-dealer operations, clearing and settlement, trade support, or a related operational control function.
- Direct experience with the U.S. equities trade lifecycle, including order processing, trade settlement, positions, cash movements, corporate actions, and securities transfers.
- Demonstrated ability to independently investigate and resolve complex operational issues across multiple systems, including situations where established procedures or runbooks do not fully address the scenario.
- Proven experience creating or materially improving SOPs, runbooks, controls documentation, process maps, audit-support materials, or similar documentation within a regulated environment.
- Hands-on experience with clearing firm or broker-dealer platforms such as Apex Clearing, Apex Ascend, or equivalent systems.
- Working proficiency with SQL, Jira, data-quality tools, workflow automation platforms, or comparable operational technology.
- Experience partnering with Engineering and Product teams to translate operational requirements into tooling, alerts, dashboards, automated workflows, or other technology solutions.
- Strong analytical and investigative skills, with the ability to identify root causes, recognize systemic issues, and develop practical solutions.
- Strong communication and stakeholder-management skills, with the ability to coordinate effectively across technical, operational, regulatory, and business teams.
- Ability to manage competing priorities in a high-accountability environment while maintaining accuracy, control discipline, and attention to detail.
- Demonstrated ability to use generative AI responsibly, maintaining human oversight and applying AI-enabled tools to improve workflow efficiency, cost, and quality.
Benefits
- Annual base salary: $130,900–$154,000 USD, excluding equity and bonus.
- Total compensation may also include equity and bonus eligibility.
- Medical, dental, and vision plans with employee contribution support.
- Health Savings Account (HSA) with company contributions each pay period.
- Disability and life insurance.
- 401(k) plan with company matching.
- Wellness stipend.
- Mobile and internet reimbursement.
- Volunteer Time Off.
- Fertility counseling and benefits.
- Generous time-off and leave policies.
- Option to receive compensation in digital currency.
- Remote work opportunity within the United States.
- Opportunity to work at the intersection of financial markets, broker-dealer operations, technology, automation, and emerging financial infrastructure.
- Exposure to cross-functional work with Product, Engineering, Trading, Compliance, Finance, Legal, Risk, and Customer Experience teams.
How Jobgether works:
We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team.
We appreciate your interest and wish you the best!
Data Privacy Notice: By submitting your application, you acknowledge that Jobgether will process your personal data to evaluate your candidacy and share relevant information with the hiring employer. This processing is based on legitimate interest and pre-contractual measures under applicable data protection laws (including GDPR). You may exercise your rights (access, rectification, erasure, objection) at any time.
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