Broker-Dealer Ops Manager — Compliance & Controls

United States Digital Space LLC; Seattle (WA); Hybrid; USD 119,000 - 149,000; Full time

Job summary

United States Digital Space LLC is seeking a Manager of Broker-Dealer Operations in Seattle. You will ensure execution and compliance of daily trading activities, defining control environments and documentation standards, and building scalable processes with a high-stakes monitoring function.

You will collaborate across Compliance, Legal, Product, Engineering, and external banking partners to strengthen controls, manage incidents, and prepare for audits and regulatory exams in a regulated

Qualifications

• 5+ years in US banking operations, securities trading, or related regulated financial services.
• Series 7, 63, and 24 licenses.
• Experience with regulated high-risk money movement workflows.
• Strong judgment with audit-ready documentation.
• Experience partnering with Compliance, Legal, Product, Engineering, Treasury, Finance, or external partners.
• Experience leading audits, incidents, regulatory exams, or high-severity escalations.
• Familiarity with AML, sanctions, fraud, or transaction monitoring programs.
• Clear written and verbal communication skills.

Responsibilities

• Ensure all trading activities are performed accurately and in a compliant manner.
• Create and maintain documented processes that are auditable by regulators and external stakeholders.
• Build a control framework ensuring accuracy, completeness of trading activity.
• Develop incident response, investigation, and remediation playbook.
• Drive audit or regulatory findings to timely resolution.
• Oversee escheatment processes for accuracy and compliance.
• Collaborate with Compliance, Legal, Product, Engineering, Treasury, Finance and external banking partners to improve controls and readiness.

Skills

Regulatory compliance

Risk assessment

Auditable documentation

Cross-functional collaboration

Audit leadership

Incident management

Communication

Tools

SQL

Job description

United States Digital Space LLC is seeking a Manager of Broker-Dealer Operations in Seattle. You will ensure execution and compliance of daily trading activities, defining control environments and documentation standards, and building scalable processes with a high-stakes monitoring function.

You will collaborate across Compliance, Legal, Product, Engineering, and external banking partners to strengthen controls, manage incidents, and prepare for audits and regulatory exams in a regulated