Broker Dealer Operations, Senior Associate

United States Digital Space LLC; United States; Hybrid; USD 131,000 - 154,000; Full time

Benefits offered by this job

Medical benefits

Dental benefits

Vision benefits

401(k)

Job summary

United States Digital Space LLC is seeking a Senior Associate, Broker Dealer Operations to join the Capital Markets team and own end-to-end broker-dealer workflows in the U.S. equities space.

You will manage reconciliations, corporate actions, transfers, and regulatory reporting, partnering with Apex and internal teams to scale processes and tooling. You will build durable controls, improve tooling, and drive automation while maintaining strong oversight and audit-ready documentation.

Qualifications

• 5+ years in financial services operations with U.S. equities lifecycle.
• Ability to manage complex operational issues across multiple systems.
• Experience with SOPs, runbooks, controls documentation, or audit-support materials.
• Hands-on experience with broker-dealer systems (Apex Clearing/Apex Ascend).
• Experience partnering with Engineering and Product to convert requirements into tooling.

Responsibilities

• Own recurring broker-dealer operations workflows across multiple areas (reconciliations, corporate actions, etc).
• Perform daily reconciliations between company and Apex records, investigate breaks, and drive resolution.
• Manage complex exceptions and coordinate remediation across multiple teams.
• Build and maintain audit-ready documentation (SOPs, runbooks, controls).
• Partner with Product and Engineering to define requirements, test functionality, and improve tooling.
• Identify systemic failure modes and lead process-improvement initiatives.

Skills

SQL

Jira

Data quality tooling

Workflow automation

Apex Clearing

Broker-dealer operations

Regulatory reporting

Tools

Apex Clearing

Apex Ascend

RegTech tooling

Job description

Ready to do the most impactful work of your career? Atthe company, we are uncompromising on our mission to increase economic freedom. The bar is high, the environment is intense, and we like it that way. This isn't a place for complacency, it’s a place to be pushed past your perceived limits. If you're ready to build the future of finance alongside people who refuse to settle for "good enough," you belong here. the company is a remote-first, but not remote-only company. Expect to get together quarterly for intense in-person working sessions called “surges.”learn more about working at the company.

As a Senior Associate, Broker Dealer Operations, you'll join the the company Capital Markets (CCM) team and serve as a subject-matter expert within the operational engine supporting the company's U.S. equities brokerage business. This team keeps customer accounts, trades, cash, positions, transfers, corporate actions, and regulatory reporting accurate, controlled, and scalable. You'll independently manage complex operational workflows, strengthen controls, and partner with Apex and internal teams to turn recurring manual work into reliable processes and tooling.

What you'll do:

• Own recurring broker-dealer operations workflows across one or more areas, including reconciliations, corporate actions, securities transfers, account maintenance, error processing, and regulatory reporting support.
• Perform daily order, trade, position, balance, and cash reconciliations between the company and Apex records, investigating breaks, documenting root causes, and driving resolution to closure.
• Manage complex exceptions and time-sensitive incidents by coordinating remediation across Apex, Engineering, Product, Trading, CX, Compliance, Finance, Legal, and Risk, prioritizing by customer, financial, and regulatory impact.
• Build and maintain audit-ready documentation, including SOPs, runbooks, control checklists, and process maps, translating operational lessons into durable controls.
• Partner with Product and Engineering to define operational requirements, test new functionality, validate launch readiness, and improve tooling, dashboards, and automation.
• Identify systemic failure modes and lead process-improvement initiatives that reduce manual work, improve detection and recovery speed, and strengthen operational resilience.

Required skills and experience:

• 5+ years in financial services operations, broker-dealer operations, clearing and settlement, trade support, or a related operational control function, with direct experience in the U.S. equities trade lifecycle (order processing, settlement, positions, cash movements, corporate actions, securities transfers).
• Proven ability to independently manage complex operational issues across multiple systems, driving investigation, escalation, remediation, and closure without relying on existing runbooks for every scenario.
• Track record of authoring or materially improving SOPs, runbooks, controls documentation, or audit-support materials in a regulated environment.
• Hands‑on experience with clearing firm or broker‑dealer systems (Apex Clearing, Apex Ascend, or equivalent), plus working proficiency in SQL, Jira, and data‑quality or workflow‑automation tooling.
• Experience partnering with Engineering and Product to convert operational requirements into tooling, alerts, dashboards, or automated workflows.
• Utilizes generative AI responsibly, maintaining human oversight to deliver business‑ready outputs and drive measurable improvements in workflow efficiency, cost, and quality.

*Position ID: P78293*

*#LI-Remote*

**Pay Transparency Notice:* ***Base salary varies by location (see range below). Total compensation may also include equity and bonus eligibility, and benefits (medical, dental, vision, 401(k)).

Annual base salary range (excluding equity and bonus):

$130,900—$154,000 USD

• *Application Limit: *Candidates may submit a maximum of 3 applications within a 6-month period.

*Equal Opportunity Employer: the company is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status, or genetic information. Applicants with criminal histories will be considered consistent with applicable federal, state, and local laws.

*US Applicants: View Employee Rights, Know Your Rights, and E-Verify Notice of Participation.

*Accommodations: If you are an individual with a disability who needs a reasonable accommodation, email us your request and contact info at accommodations[at]the company.com.Need screen reading technology? Click here to download a free compatible screen reader and view thetutorial.

*Data Privacy & Arbitration: By submitting your application, you agree to our Candidate Privacy Notice. US applicants: By submitting your application, you agree to Arbitration of Disputes.