Director of Brokerage Operations

Golden State Capital; Diamond Bar (CA); On-site; USD 170,000 - 230,000; Full time

Benefits offered by this job

Competitive salary with performance-based bonuses

Comprehensive healthcare benefits

Career development programs

Opportunity to collaborate with industry professionals

Job summary

A financial services company based in Diamond Bar, CA, is seeking a Director of Brokerage Operations. This role requires at least 3 years of experience in a brokerage firm, with a focus on regulatory compliance and team leadership. The candidate must hold an active Series 24 license and be capable of leading a high-performing team. Competitive salary and bonuses available.

Qualifications

• Minimum 3 years in a brokerage firm or financial institution.
• At least 1 year in a managerial role.
• Active Series 24 license required.
• Experience in small or mid-size brokerage operations.

Responsibilities

• Ensuring FINRA and SEC compliance across all brokerage operations.
• Leading and managing the operations team.
• Analyzing and improving operational processes.
• Managing budgets and operational resources.

Skills

Brokerage operations management

Regulatory compliance

Analytical problem-solving

Project leadership

Team mentoring

Job description

This range is provided by Golden State Capital. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$170,000.00/yr - $230,000.00/yr

Location: Diamond Bar, CA | Full-Time, On-Site

Company Description

Golden State Capital is a financial services company dedicated to empowering small and medium-sized enterprises (SMEs) by connecting them with the tools and opportunities to succeed in the capital markets. With a focus on innovation, trust, and tailored growth strategies, we aim to be a reliable partner for businesses seeking to unlock their potential. Combining deep industry expertise with a commitment to long-term success, we help entrepreneurs and companies achieve their goals.

Role Overview

We are seeking a Director of Brokerage Operations to lead and optimize our brokerage operations in an exciting startup environment. This role is critical in ensuring regulatory compliance, operational excellence, and scalable processes, while supporting a high‑performing, collaborative team.

Qualifications

• Experience: Minimum 3 years in a brokerage firm or financial institution, with at least 1 year in a managerial role
• Licensure: Active Series 24 license required
• Boutique Brokerage Expertise: Experience in small or mid‑size brokerage operations with a strong understanding of unique challenges
• Project Leadership: Proven ability to drive initiatives from start to finish independently
• Industry Knowledge: Strong understanding of brokerage operations, financial products, regulatory frameworks, and risk management
• Work Location: Must be able to work on‑site in Diamond Bar, CA

Key Responsibilities

• Ensuring FINRA and SEC compliance across all brokerage operations
• Leading, mentoring, and managing the operations team
• Analyzing, streamlining, and improving operational processes
• Managing budgets and operational resources
• Delivering exceptional service to clients and internal stakeholders
• Exceptional attention to detail and organizational skills
• Analytical, proactive problem‑solver
• Strong understanding of financial services and brokerage operations
• Excellent collaboration, communication, and leadership abilities

Why Join Us?

• Work in a dynamic, fast‑paced startup environment shaping the future of financial services
• Competitive salary with performance‑based bonuses
• Career development programs and clear growth pathways
• Comprehensive healthcare benefits and employee perks
• Opportunity to collaborate with top‑tier industry professionals

Seniority level

• Director

Employment type

• Full‑time

Job function

• Management and Manufacturing