Broker-Dealer Operations Manager

Brex; San Francisco (CA); Hybrid; USD 108,000 - 136,000; Full time

Benefits offered by this job

Hybrid work model

Job summary

Brex, based in San Francisco, is seeking a Manager of Broker-Dealer Operations to supervise daily trading activities, establish control environments, and ensure regulatory compliance. The role collaborates with Compliance, Legal, Product, Engineering, and banking partners to strengthen controls and readiness for new workflows.

You will define processes, document controls, and lead remediation for any anomalies while supporting audits and regulatory exams.

Qualifications

• 5+ years of experience in US banking operations or a related regulated environment.
• Series 7, 63, and 24 licenses.
• Experience with regulated high-risk money movement workflows.
• Ability to collaborate with Compliance, Legal, Product, Engineering, and external partners.

Responsibilities

• Ensure all trading activities at Brex are performed accurately and in a compliant manner.
• Create and maintain documented processes that are auditable by external stakeholders and regulators.
• Build a control framework that provides high confidence in the validity, accuracy, and completeness of all trading activity.
• Build and maintain an incident response, investigation, and remediation playbook for rapid identification and remediation of 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 Compliance to ensure marketing of investment options is compliant with regulation.
• Partner with Compliance, Legal, Product, Engineering, and external banking partners to strengthen controls and support operational readiness for new workflows and product changes.

Skills

Regulatory compliance

Auditing

Cross-functional collaboration

Risk assessment

Documentation

Tools

SQL

Job description

Brex, based in San Francisco, is seeking a Manager of Broker-Dealer Operations to supervise daily trading activities, establish control environments, and ensure regulatory compliance. The role collaborates with Compliance, Legal, Product, Engineering, and banking partners to strengthen controls and readiness for new workflows.

You will define processes, document controls, and lead remediation for any anomalies while supporting audits and regulatory exams.