Senior Brokerage Operations Leader – Automation & Risk

M1 Finance; Chicago (IL); On-site; USD 140,000 - 160,000; Full time

Benefits offered by this job

Competitive Pay and Stock Options

Comprehensive health, dental, vision insurance

Retirement benefit with employer match

Unlimited PTO

Transparent communication with leadership

Job summary

M1 Finance in Chicago is looking for a talented individual to lead its brokerage operations team. The role involves supervising daily operations, enhancing workflows, and developing team capabilities. Candidates should have substantial brokerage operations experience and proven leadership skills.

Ideal applicants possess a strong regulatory knowledge, and automation expertise with a focus on client satisfaction. M1 Finance offers a competitive compensation package and a culture that values integrity and collaboration.

Qualifications

• 7–10 years of brokerage or securities operations experience, with at least 3–5 years managing teams of 5 or more.
• Self-clearing experience required; direct familiarity with DTC, NSCC, and clearing infrastructure strongly preferred.
• Deep understanding of the full trade lifecycle and settlement mechanics.

Responsibilities

• Lead and develop a team, providing coaching, prioritization, and performance management.
• Own the supervision of daily brokerage operations workflows including reconciliation and transfers.
• Identify and lead automation and process improvement initiatives.

Skills

Brokerage operations experience

Team management

Self-clearing experience

Operations automation

Regulatory knowledge (FINRA, SEC)

Excel proficiency

SQL skills

Communication

Education

7–10 years of brokerage or securities operations experience

Series 7 and 24 required

Tools

Excel

SQL

Job description

M1 Finance in Chicago is looking for a talented individual to lead its brokerage operations team. The role involves supervising daily operations, enhancing workflows, and developing team capabilities. Candidates should have substantial brokerage operations experience and proven leadership skills.

Ideal applicants possess a strong regulatory knowledge, and automation expertise with a focus on client satisfaction. M1 Finance offers a competitive compensation package and a culture that values integrity and collaboration.