Trading Desk Lead & Principal, Brokerage Ops

Savvy Wealth; New York (NY); On-site; USD 150,000 - 190,000; Full time

Benefits offered by this job

Competitive salary & equity

Unlimited PTO and holidays

Medical, dental, vision plans

401(k) with matching

Commuter benefits

NYC office in Manhattan

Lunch in the office

Job summary

Savvy Wealth in New York City is seeking a Sr. Brokerage Operations Manager to be the licensed principal of record for trading activity and lead the trading desk operation end-to-end.

This senior role works closely with Legal/Compliance and Business Ops, driving best execution programs with Fidelity, managing regulatory reporting, and automating processes to reduce manual work. The ideal candidate has 6–8+ years in broker-dealer ops, Series 7/24/64, and a track record of building operations from

Qualifications

• 6–8+ years in broker-dealer operations, including building a trading ops function from scratch.
• Series 7, 64 and 24 licenses.
• Deep knowledge of trade lifecycle, best execution, and regulatory reporting (CAT/CAIS, Rule 605/606).
• Comfortable operating as a senior peer to Legal/Compliance and leadership — presents and defends decisions.
• Experience preparing for or supporting a FINRA/SEC examination.
• High comfort with ambiguity — building controls from scratch.
• AI-first builder mindset with automation of manual ops.
• Background in a high-growth fintech or startup environment.

Responsibilities

• Build and own trading desk operation end-to-end — lifecycle, execution quality, and reviews.
• Serve as licensed principal (Series 7/24) for trades and account actions.
• Design and run best execution program, working with Fidelity and future venues.
• Own CAT/CAIS and Rule 605/606 reporting.
• Drive AI/automation across trading desk and back office, reducing manual reconciliation.
• CCO's primary operations counterpart on broker-dealer regulatory matters.
• Resolve licensing and supervisory ambiguities into auditable policy.
• Own FINRA examination readiness: documentation and audit-trail infra.
• Escalation and disclosure decisions on regulatory-adjacent issues.
• Experience building document versioning or audit-trail infrastructure.
• Own account and cashiering operations design — money movement approvals, wire approvals, AML escalations.
• Partner with Legal & Compliance on requests, complaint reporting, escheatment.
• Own Fidelity relationship and vendor management for broker-dealer ops.

Skills

Broker-dealer ops

Series licenses

Regulatory knowledge

Leadership

FINRA exam readiness

Ambiguity tolerance

AI/automation mindset

Fintech/startup background

Tools

Fidelity platform

Job description

Savvy Wealth in New York City is seeking a Sr. Brokerage Operations Manager to be the licensed principal of record for trading activity and lead the trading desk operation end-to-end.

This senior role works closely with Legal/Compliance and Business Ops, driving best execution programs with Fidelity, managing regulatory reporting, and automating processes to reduce manual work. The ideal candidate has 6–8+ years in broker-dealer ops, Series 7/24/64, and a track record of building operations from