Broker-Dealer Operations Manager: Compliance & Risk Lead

Brex; Seattle (WA); Hybrid; USD 108,000 - 136,000; Full time

Benefits offered by this job

Up to four weeks remote per year

Job summary

Brex is seeking a Manager of Broker-Dealer Operations in Seattle. The role focuses on ensuring execution and compliance of daily trading activities, building robust controls, and maintaining auditable processes.

It is a hybrid role based in our Seattle office, with a requirement for three in-office days per week and up to four weeks remote annually. The candidate should bring 5+ years in regulated financial services, Series 7/63/24, and strong collaboration with Compliance, Legal, Product, and

Qualifications

• 5+ years in US banking operations, securities trading, or similar regulated functions.
• Proven experience with regulated high-risk money movement workflows.
• Experience partnering with Compliance, Legal, Product, Engineering, Treasury, Finance or external partners.
• Experience leading through audits, incidents, regulatory exams, or high-severity escalations.
• Familiarity with AML, sanctions, fraud, or transaction monitoring.

Responsibilities

• Ensure all Brex trading activities are performed accurately and in a compliant manner.
• Create and maintain auditable processes for regulators and external stakeholders.
• Build a control framework ensuring high confidence in trading activity data.
• Develop incident response, investigation, and remediation playbooks for anomalies.
• Drive audit findings to timely resolution and oversight of escheatment processes.
• Collaborate with Compliance, Legal, Product, Engineering, and external banking partners.

Skills

Strong judgement

Audit readiness

Risk assessment

Cross-functional collaboration

Documentation clarity

Regulated financial knowledge

Tools

SQL

AI data tools

Job description

Brex is seeking a Manager of Broker-Dealer Operations in Seattle. The role focuses on ensuring execution and compliance of daily trading activities, building robust controls, and maintaining auditable processes.

It is a hybrid role based in our Seattle office, with a requirement for three in-office days per week and up to four weeks remote annually. The candidate should bring 5+ years in regulated financial services, Series 7/63/24, and strong collaboration with Compliance, Legal, Product, and