Brokerage Operations Leader & Principal (Remote)

Aries; Detroit (MI); Remote; USD 125,000 - 155,000; Full time

Job summary

Aries is seeking a Brokerage Operations Manager to lead our brokerage operations, overseeing daily controls, reconciliations, and exception management as a registered principal. You will manage Apex Clearing relationships and drive long-term fixes any time issues arise, collaborating with Compliance, Risk, Trading, Product, Engineering, and advisors.

You’ll guide a team, set standards, and own end-to-end operations, with a focus on automating tasks, improving dashboards, and ensuring smooth book

Qualifications

• 5+ years in brokerage, clearing, or broker-dealer operations.
• 2+ years in a people management or operations lead role.
• FINRA Series 24, or willingness to obtain within 90 days of hire; Series 7 and SIE are required.
• Experience with a fully disclosed clearing firm, ideally Apex.
• Strong grasp of the U.S. securities trade lifecycle, cashiering, ACATS, margin, and corporate actions.
• Solid experience with equities and listed options.
• Comfortable working through position, cash, trade, settlement, or reconciliation breaks.
• Able to provide coverage during U.S. market hours.

Responsibilities

• Lead, hire, and coach the operations team, set clear standards, and keep everyone accountable.
• Serve as the registered principal over operations and maintain updated Written Supervisory Procedures.
• Oversee daily reconciliations, operational controls, and exception reviews.
• Act as the main contact for Apex Clearing, ensuring breaks, rejects, and service issues are resolved.
• Investigate and clear position, cash, trade, settlement, margin, and buying power breaks.
• Manage equities and listed options across the trade lifecycle, including exercises and corrections.
• Oversee money movement, ACATS, new accounts, and account maintenance.
• Stay ahead of margin calls, corporate actions, and other operational exceptions.
• Find recurring problems and implement permanent fixes, not workarounds.
• Collaborate with Product and Engineering to automate tasks and improve dashboards.
• Support Compliance with FINRA/SEC exams, inquiries, and regulatory reporting.
• Support advisor onboarding and book transitions as we grow.

Skills

Brokerage operations

Leadership

Data analysis

Excel

Education

FINRA Series 24

Series 7 and SIE

Tools

Apex Clearing

SQL

APIs / SFTP / CSV / JSON / FIX

Job description

Aries is seeking a Brokerage Operations Manager to lead our brokerage operations, overseeing daily controls, reconciliations, and exception management as a registered principal. You will manage Apex Clearing relationships and drive long-term fixes any time issues arise, collaborating with Compliance, Risk, Trading, Product, Engineering, and advisors.

You’ll guide a team, set standards, and own end-to-end operations, with a focus on automating tasks, improving dashboards, and ensuring smooth book