Brokerage Operations Manager

About the role

Savvy is seeking a Brokerage Operations Manager to oversee daily operations for its broker-dealer. This role involves managing workflows from trade setup through settlement, ensuring efficient execution, reconciliation, and adherence to regulations. You will be central to maintaining operational excellence as trade volumes increase. The position requires ownership of end to end process design for the brokerage lifecycle. You will resolve issues as they arise and drive consistency across complex operational workflows. This role demands comfort with ambiguity as you build critical functions from the ground up. You will establish the framework that ensures accuracy and compliance in every transaction. The position is pivotal in scaling operations to support business growth.

Key facts

What you'll do

• Develop and manage the complete operational workflow for the brokerage lifecycle, resolving issues as they arise.
• Implement processes for monitoring post-trade activities and addressing problems proactively.
• Create workflows for investigating and correcting errors, ensuring accurate record-keeping and reconciliation.
• Establish a framework for handling corporate action communications.
• Develop quality control review processes and documentation to meet obligations.
• Build workflows to support regulatory reporting requirements across various product types.
• Identify opportunities to use AI tools and agentic workflows for automating reconciliation, exception detection, and error resolution.
• Design and manage the workflow for reviewing, approving, and processing client money movement requests, including domestic and international transfers.
• Create and maintain monitoring processes to flag unusual account activity and ensure timely escalation.
• Establish a consistent process for managing deposits from receipt to posting.
• Develop and refine processes for triaging and resolving new account setup exceptions.
• Build a framework for maintaining and updating account restrictions, ensuring accuracy across systems.
• Utilize AI and automation to streamline approval workflows and enhance anomaly detection.
• Assist the Legal & Compliance team with FINRA and audit requests.
• Prepare reports on client complaints and their resolutions.
• Investigate AI-driven tools and agentic workflows to reduce manual effort in reporting and audit preparation.

Requirements

• 3-5 years of total experience in investment banking, consulting, or fintech startups.
• High attention to detail and comfort operating in ambiguous situations, as this function is being built from scratch.
• Strong process orientation, capable of creating standard operating procedures and controls where none currently exist.
• Ability to collaborate effectively across Investment Operations, Compliance/Legal, and Product/Engineering teams.
• Comfortable using AI/automation tools to reduce manual reconciliation and exception-detection tasks.
• Experience at a high-growth fintech or startup, or in building an operations function from the ground up.
• Demonstrated ability to manage multiple priorities in a fast-paced environment.
• Strong written and verbal communication skills for interacting with cross-functional stakeholders.
• Commitment to maintaining the highest standards of accuracy and compliance.
• Willingness to follow documented procedures and contribute to process improvement initiatives.
• Capacity to analyze complex operational issues and develop practical solutions.
• Reliability in meeting deadlines and managing workflows with minimal supervision.
• Understanding of the importance of maintaining data integrity in financial operations.

Nice to have

• Previous experience at an introducing broker-dealer or clearing firm (e.g., Fidelity NFS, Pershing, Apex).
• Familiarity with cashiering operations, including money movement approvals, wire approvals, and AML alert monitoring.
• Working knowledge of the trade lifecycle.
• Understanding of FINRA/SEC compliance reporting requirements.
• SIE, Series 4, 53 certifications.

Practical notes

This role is based in the NYC Office with a hybrid work arrangement. The engagement is full-time, and the schedule requires presence during core business hours. There may be travel requirements related to office activities or meetings as determined by management. Candidates must be eligible to work in the United States without sponsorship for this position. The compensation range is $117K - $131K, accompanied by equity offers. Applicants are encouraged to apply directly through the portal with current resumes. The role is part of a high-growth environment demanding adaptability and a proactive approach to operational challenges.