Brokerage Strategy & Operations Lead (Series 7/24)

Savvy Wealth, Inc.; New York (NY); Vor Ort; USD 180.000 - 240.000; Vollzeit

Benefits dieser Stelle

Competitive salary

Equity package

Relocation to NYC

Unlimited PTO

401(k)

Union Square NYC office

Meals in office

Mental health access

Zusammenfassung

Savvy Wealth, Inc. in New York is seeking a Senior Strategy & Operations Manager - Brokerage to oversee the trading desk, ensure best execution, and manage regulatory trade reporting. You will work as a licensed principal and partner with Legal/Compliance at a high level.

You will design the operations framework, automate where possible, and partner with Fidelity while building from scratch a scalable, compliant broker-dealer operation in a fast-growing fintech environment.

Qualifikationen

• 6-8+ years of broker-dealer operations experience.
• Series 7, 63 and 24 licenses.
• Deep knowledge of the trade lifecycle, best execution, and regulatory reporting (CAT/CAIS, Rule 605/606).
• Comfortable operating as a senior peer to Legal/Compliance and company leadership.
• Experience preparing for or supporting a FINRA/SEC examination.
• AI-first mindset with a track record of automating manual ops work.
• Background in a high-growth fintech or startup environment.

Aufgaben

• Build and own Savvy's trading desk operation end-to-end — trade lifecycle, execution quality, and best execution review — as the function's senior owner.
• Serve as the licensed principal (Series 7/24) of record for trading activity, holding personal sign-off authority on trades, account actions, and exceptions requiring principal review.
• Design and run Savvy's best execution program, holding Fidelity (and future execution venues) accountable to execution quality standards.
• Own CAT/CAIS and Rule 605/606 regulatory trade reporting.
• Drive AI/automation opportunities across the trading desk and back office — reducing manual reconciliation, exception detection, and compliance documentation — with a bias toward building rather than scaling headcount.
• Regulatory & Principal Oversight: Serve as CCO's primary operations counterpart on broker-dealer regulatory matters.
• Resolve open licensing and supervisory-control ambiguities into documented, auditable policy.
• Own FINRA examination readiness: supervisory review documentation, WSP maintenance, and audit-trail/document-versioning infrastructure.
• Personally own escalation and disclosure decisions on regulatory-adjacent issues — late reviews, trade breaks above threshold, unusual trading patterns.
• Experience building document versioning or audit-trail infrastructure.
• Account, Cashiering & Compliance Operations: Own the strategic design of account and cashiering operations — money movement approvals, wire approvals, AML alert escalation, account restriction management.
• Partner with Legal & Compliance on FINRA/audit requests, complaint reporting, and escheatment tracking.
• Own the Fidelity relationship and vendor management for broker-dealer operations, transitioning fully from Rohan over time.

Kenntnisse

Broker-dealer ops

Series 7/24/63

Trade lifecycle

Regulatory reporting

AI automation

Fintech startup

Tools

Fidelity NFS

Jobbeschreibung

Savvy Wealth, Inc. in New York is seeking a Senior Strategy & Operations Manager - Brokerage to oversee the trading desk, ensure best execution, and manage regulatory trade reporting. You will work as a licensed principal and partner with Legal/Compliance at a high level.

You will design the operations framework, automate where possible, and partner with Fidelity while building from scratch a scalable, compliant broker-dealer operation in a fast-growing fintech environment.