Broker Dealer Operations Manager

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

• As the Manager of Broker-Dealer Operations you will ensure the execution and compliance of our daily trading activities. You’ll define the control environment for our trading function, work to strengthen judgment and documentation standards, and build the operating rhythms that keep a high-stakes monitoring function accurate, resilient, and ready to scale
• Ensure all trading activities at Brex are performed accurately and in a compliant manner
• Create and maintain documented processes that are auditable by various external stakeholders and regulators
• Build a control framework that provides extremely high confidence in the validity, accuracy, and completeness of all required trading activity
• Build and maintain an incident response, investigation, and remediation playbook to ensure we are prepared to respond quickly and thoroughly to any identified anomalies or errors
• Drive any future audit or regulatory findings to resolution in a timely manner
• Manage escheatment processes and oversight ensuring accuracy, completeness, and compliance
• Work with our Compliance function to ensure any marketing of investment options is compliant with regulation
• Partner closely with Compliance, Legal, Product, Engineering, and external banking partners to strengthen controls, resolve issues quickly, and support operational readiness for new workflows and product changes

Benefits

• Medical, dental & vision
• Generous vacation
• Spring Health & Calm
• Year-end company shutdown
• Milk Stork for nursing parents
• In-office days, lunches & offsites
• Commuter benefits
• 4 fully remote weeks
• Carrot Fertility benefits
• Generous parental leave

Strong judgment, including the ability to assess risk, make sound escalation decisions, and maintain clear, audit-ready documentation5+ years of experience in US banking operations, securities trading, or a related function within a bank, fintech, or other regulated financial services environmentExperience leading through audits, incidents, regulatory exams, or high-severity operational escalationsSeries 7, 63, and 24Experience partnering cross-functionally with teams such as Compliance, Legal, Product, Engineering, Treasury, Finance, or external partners to resolve issues and improve processesExperience with regulated high-risk money movement workflowsFamiliarity with AML, sanctions, fraud, or transaction monitoring programs in a regulated financial environmentClear written and verbal communication skills, with the ability to turn operational complexity into concise guidance, actionable feedback, and leadership-ready updatesExperience managing an escheatment programThese are a plus, not a requirement. If you meet most of the qualifications above, we’d still encourage you to applyExperience supporting money market trading and settlement workflowsComfort querying databases (e.g., SQL) and/or AI utilizing data tools to identify trends, improve decision-making, or automate manual workExperience deploying AI into operational workflows with strong judgment on how to deploy AI effectively in a control heavy environmentExposure to working with external banking partners, vendors, or fintech infrastructure providers to improve operational workflows and controls