Broker-Dealer Operations & Compliance Lead

Brex; San Francisco (CA); Hybrid; USD 180,000 - 240,000; Full time

Benefits offered by this job

Medical, dental & vision

Generous vacation

Year-end shutdown

Remote work weeks

Parental leave

Job summary

Brex is seeking a Manager of Broker-Dealer Operations to ensure accurate and compliant daily trading activities, while defining a control environment and auditable processes. You will lead incident response playbooks, close regulatory findings, and work with Compliance, Legal, Product, and Engineering to scale controls for new workflows and product changes.

The role emphasizes strong judgment, risk assessment, and documentation quality in a regulated fintech setting, with a focus on process

Qualifications

• 5+ years of experience in US banking operations, securities trading, or a regulated financial services environment.
• Experience leading through audits, incidents, regulatory exams, or high-severity escalations.
• Strong collaboration with Compliance, Legal, Product, Engineering, and external partners.
• Familiarity with AML, sanctions, fraud, or transaction monitoring programs.

Responsibilities

• Ensure execution and compliance of daily trading activities.
• Define control environment and strengthen documentation standards.
• Build a high-confidence control framework for trading activities.
• Develop incident response, investigation, and remediation playbooks.
• Drive audits and regulatory findings to timely resolution.
• Oversee escheatment processes and compliance with regulations.
• Collaborate with Compliance, Legal, Product, Engineering, and external banking partners.

Skills

Risk assessment

Auditing

Regulatory compliance

Cross-functional collaboration

Documentation

Leadership

Communication

Securities trading operations

SQL

Data analysis

Tools

SQL

Job description

Brex is seeking a Manager of Broker-Dealer Operations to ensure accurate and compliant daily trading activities, while defining a control environment and auditable processes. You will lead incident response playbooks, close regulatory findings, and work with Compliance, Legal, Product, and Engineering to scale controls for new workflows and product changes.

The role emphasizes strong judgment, risk assessment, and documentation quality in a regulated fintech setting, with a focus on process