Broker-Dealer Operations Lead — Hybrid

Brex; Salt Lake City (UT); Hybrid; USD 96,000 - 120,000; Full time

Benefits offered by this job

Hybrid work model

Remote work up to 4 weeks/year

Job summary

Brex seeks a Manager of Broker-Dealer Operations in Salt Lake City to own daily trading activity control, compliance, and regulatory readiness. You will define the control environment, strengthen judgment, and build scalable operating rhythms to support high-stakes monitoring across a regulated financial platform.

You will partner with Compliance, Legal, Product, Engineering, and external banking partners to drive improvements, oversee escheatment, and ensure compliant marketing of investment

Qualifications

• 5+ years in US banking operations or related regulated finance role.
• Series 7, 63, and 24.
• Experience with regulated high-risk money movement workflows.
• Strong judgment with audit-ready documentation.
• Cross-functional collaboration with Compliance, Legal, Product, Engineering, Treasury, Finance.

Responsibilities

• Ensure trading activities are accurate and compliant.
• Create documented processes auditable by regulators.
• Build a control framework for trading activity accuracy and completeness.
• Maintain incident response, investigation, and remediation playbooks.
• Address audits, incidents, and regulatory findings promptly.
• Oversee escheatment processes and compliance.
• Ensure marketing of investment options complies with regulation.
• Collaborate with Compliance, Legal, Product, Engineering, Treasury, Finance, and external partners.

Skills

Regulatory compliance

Auditing

Risk assessment

Cross-functional collaboration

Documentation

Communication

Money movement workflows

Tools

SQL

Job description

Brex seeks a Manager of Broker-Dealer Operations in Salt Lake City to own daily trading activity control, compliance, and regulatory readiness. You will define the control environment, strengthen judgment, and build scalable operating rhythms to support high-stakes monitoring across a regulated financial platform.

You will partner with Compliance, Legal, Product, Engineering, and external banking partners to drive improvements, oversee escheatment, and ensure compliant marketing of investment