Head of Broker-Dealer Operations & Compliance

Brex; Seattle (WA); Hybrid; USD 119,000 - 149,000; Full time

Job summary

Brex is seeking a Head of Broker-Dealer Operations in Seattle to lead the execution and compliance of daily trading activities. You will define the control environment for the trading function, improve judgment standards, and establish operating rhythms for a scalable, high-stakes monitoring framework.

You will collaborate with Compliance, Legal, Product, Engineering, Treasury, and external banking partners to strengthen controls and ensure readiness for new workflows and product changes.

Qualifications

• Strong judgment and ability to assess risk, with clear escalation decisions and audit-ready documentation.
• Experience in a regulated financial environment with high-risk money movement workflows.
• Proven ability to partner across Compliance, Legal, Product, Engineering, Treasury and Finance to resolve issues.

Responsibilities

• Ensure all trading activities are performed accurately and in a compliant manner.
• Create and maintain auditable, well-documented processes for regulators and external stakeholders.
• Build a control framework ensuring high confidence in trading activity.
• Develop incident response and remediation playbooks for rapid, thorough responses.
• Drive audits, regulatory exams, and escalations to timely resolution.
• Oversee escheatment processes for accuracy and compliance.
• Collaborate with Compliance on marketing of investment options to ensure regulatory compliance.
• Partner with Compliance, Legal, Product, Engineering, and external banking partners to strengthen controls.

Skills

Strong judgment

Audit-ready documentation

Cross-functional collaboration

Regulated financial environment

Written and verbal communication

Tools

SQL

Job description

Brex is seeking a Head of Broker-Dealer Operations in Seattle to lead the execution and compliance of daily trading activities. You will define the control environment for the trading function, improve judgment standards, and establish operating rhythms for a scalable, high-stakes monitoring framework.

You will collaborate with Compliance, Legal, Product, Engineering, Treasury, and external banking partners to strengthen controls and ensure readiness for new workflows and product changes.