Remote Principal Ops Leader – Broker-Dealer & Compliance

Atomic Invest; United States; Remote; USD 180,000 - 260,000; Full time

Job summary

Atomic Invest is seeking a Principal Operations Officer to lead the broker-dealer's day-to-day books-and-records, settlement, corporate actions, and onboarding. This remote-friendly US-based role reports to the Head of Operations and requires active Series 27, 24, and 63 licenses with 5+ years in broker-dealer operations.

You will collaborate with FinOp, compliance, legal, and engineering to design scalable controls and automation while ensuring regulatory readiness for FINRA/SEC examinations.

Qualifications

• Active Series 27, 24, 63 licenses.
• 5+ years of progressive broker-dealer operations experience with leadership.
• Experience with clearance and settlement and NSCC/DTC processes.
• Ownership of corporate actions and daily books-and-records reconciliations.
• Working knowledge of net capital, customer protection (15c3-3), and FOCUS reporting.
• Ability to write and defend supervisory procedures for FINRA/SEC exams.
• Comfort building processes while the business scales in a startup environment.

Responsibilities

• Own end-to-end operational lifecycle for Atomic Brokerage: clearance and settlement, corporate actions processing, account onboarding and maintenance, and daily books-and-records reconciliations.
• Serve as designated supervisory principal for operations functions; write, maintain, and defend supervisory procedures in FINRA and SEC examinations.
• Support FOCUS reporting and net capital compliance by maintaining clean operational data and timely reconciliation of all accounts.
• Partner with engineering to identify automation opportunities across reconciliations, exception queues, corporate actions workflows, and regulatory reporting.
• Collaborate with the FinOp, compliance, and legal teams on regulatory filings, exam readiness, and control design.
• Help shape the operational design and control environment as the business scales: building processes, procedures, and controls in a fast-moving startup environment.

Skills

Broker-dealer ops

Leadership

Regulatory compliance

Automation collaboration

Tools

InteliClear

Job description

Atomic Invest is seeking a Principal Operations Officer to lead the broker-dealer's day-to-day books-and-records, settlement, corporate actions, and onboarding. This remote-friendly US-based role reports to the Head of Operations and requires active Series 27, 24, and 63 licenses with 5+ years in broker-dealer operations.

You will collaborate with FinOp, compliance, legal, and engineering to design scalable controls and automation while ensuring regulatory readiness for FINRA/SEC examinations.