Manager, Broker Dealer Operations

United States Digital Space LLC; New York (NY); Hybrid; USD 119,000 - 149,000; Full time

Benefits offered by this job

Remote work up to 4 weeks/yr

Hybrid NYC office

Job summary

Capital One (through its subsidiary) is seeking a Manager of Broker-Dealer Operations in New York City. This hybrid role drives the execution and compliance of daily trading activities and defines the control environment for our trading function.

You will document auditable processes, strengthen risk judgment, and partner with Compliance, Legal, Product, Engineering, Treasury, and external banking partners to support scalable workflows and regulatory readiness.

Qualifications

• 5+ years in US banking operations, securities trading, or related regulated environment within a bank/fintech

Responsibilities

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

Skills

Regulatory compliance

Trading operations

Auditing/documentation

Risk assessment

Cross-functional collaboration

Communication skills

Series 7/63/24 licenses

SQL

Tools

SQL

Job description

Why join us

the company is the intelligent finance platform that enables companies to spend smarter and move faster in more than 200 markets. By combining global corporate cards and banking with intuitive spend management, bill pay, and travel software, the company enables founders and finance teams to accelerate operations, gain real-time visibility, and control spend effortlessly. the company’s AI-native automation and world-class service eliminate manual expense and accounting tasks for customers so they can focus on what matters most. Tens of thousands of the world’s best companies run on the company, including DoorDash, Coinbase, Robinhood, Zoom, Plaid, Reddit, and SeatGeek.

Working at the company allows you to push your limits, challenge the status quo, and collaborate with some of the brightest minds in the industry. We’re committed to building a diverse team and inclusive culture and believe your potential should only be limited by how big you can dream. We make this a reality by empowering you with the tools, resources, and support you need to grow your career.

Operations

Operations is the backbone of the company’s mission to power businesses through our Intelligent Finance Platform. We own credit, fraud, money movement, and payments, protecting our customers and our company. From product operations that ensure flawless launches to scalable systems that drive innovation and precision, we operate at the intersection of product, design, engineering, and customer success. If you want to work at the heart of the business, Operations is where you belong.

What you’ll do

As the Manager of Broker-Dealer Operations you will ensure the execution and compliance of our daily trading activities. You’ll define the control environment for our trading function, work to strengthen judgment and documentation standards, and build the operating rhythms that keep a high-stakes monitoring function accurate, resilient, and ready to scale.

Responsibilities

• Ensure all trading activities at the company are performed accurately and in a compliant manner.
• Create and maintain documented processes that are auditable by various external stakeholders and regulators.
• Build a control framework that provides extremely high confidence in the validity, accuracy, and completeness of all required trading activity.
• Build and maintain an incident response, investigation, and remediation playbook to ensure we are prepared to respond quickly and thoroughly to any identified anomalies or errors.
• Drive any future audit or regulatory findings to resolution in a timely manner
• Manage escheatment processes and oversight ensuring accuracy, completeness, and compliance.
• Work with our Compliance function to ensure any marketing of investment options is compliant with regulation.
• Partner closely with Compliance, Legal, Product, Engineering, and external banking partners to strengthen controls, resolve issues quickly, and support operational readiness for new workflows and product changes.

Where you’ll work

This role will be based in our New York City office. We are a hybrid environment that combines the energy and connections of being in the office with the benefits and flexibility of working from home. We currently require a minimum of three coordinated days in the office per week, Monday, Wednesday and Thursday. As a perk, we also have up to four weeks per year of fully remote work!

Requirements

• 5+ years of experience in US banking operations, securities trading, or a related function within a bank, fintech, or other regulated financial services environment.
• Series 7, 63, and 24
• Experience with regulated high-risk money movement workflows.
• Strong judgment, including the ability to assess risk, make sound escalation decisions, and maintain clear, audit-ready documentation.
• Experience partnering cross-functionally with teams such as Compliance, Legal, Product, Engineering, Treasury, Finance, or external partners to resolve issues and improve processes.
• Experience leading through audits, incidents, regulatory exams, or high-severity operational escalations.
• Familiarity with AML, sanctions, fraud, or transaction monitoring programs in a regulated financial environment.
• Clear written and verbal communication skills, with the ability to turn operational complexity into concise guidance, actionable feedback, and leadership-ready updates.

Bonus points

These are a plus, not a requirement. If you meet most of the qualifications above, we’d still encourage you to apply.

• Experience managing an escheatment program
• Experience supporting money market trading and settlement workflows.
• Comfort querying databases (e.g., SQL) and/or AI utilizing data tools to identify trends, improve decision-making, or automate manual work.
• Experience deploying AI into operational workflows with strong judgment on how to deploy AI effectively in a control heavy environment.
• Exposure to working with external banking partners, vendors, or fintech infrastructure providers to improve operational workflows and controls.

Compensation

The expected salary range for this role is 119,328 - 149,160. However, the starting base pay will depend on a number of factors including the candidate’s location, skills, experience, market demands, and internal pay parity. Depending on the position offered, equity and other forms of compensation may be provided as part of a total compensation package.

*the company LLC is a wholly owned subsidiary of Capital One, N.A.*