Brokerage Operations Lead
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Job Description
Brokerage Operations Lead overseeing operations for brokerage services in Invest and Crypto at fintech startup. Ensuring accurate, compliant trade and asset lifecycle management.
Responsibilities:
- Owning and operating the day-to-day brokerage operations across OnePay Invest and Crypto, ensuring accurate, timely, and compliant execution across the full trade and asset lifecycle
- Supervising brokerage operations as a designated principal (Series 24), ensuring adherence to SEC/FINRA regulations, WSPs, and internal controls
- Serving as the primary US-based escalation point, leading resolution of trade breaks, incidents, and real-time operational issues
- Partnering closely with the India-based Brokerage Operations Lead to provide continuous operational coverage, share oversight of daily operations, and ensure consistency across regions
- Oversight and management of core brokerage functions, including trade corrections, settlements, reconciliations, money movement, and transfers (ACATS)
- Overseeing corporate actions and asset servicing, ensuring accuracy and timeliness across dividends, splits, and other trade related events
- Monitoring operational health and performance, including exception queues, customer support volumes, and proactively addressing risks
- Acting as the primary liaison with our clearing broker-dealer, and crypto partners, ensuring seamless execution, issue resolution, and continuous improvement
- Building error management frameworks and partnering with Product and Engineering on workflow automation
Requirements:
- 7–10+ years of brokerage or trading operations experience (fintech or broker-dealer preferred)
- Active FINRA licenses: Series 7, 63, and 24 (required)
- Experience as a supervisory principal with direct ownership of brokerage operations
- Experience operating in a follow-the-sun or global operations model, with shared ownership across regions
- Deep knowledge of:
- Trade lifecycle (execution → settlement → reconciliation)
- Corporate actions, transfers (ACATS), and money movement
- SEC / FINRA regulations and operational risk controls
- Proven ability to run day-to-day operations in a high-volume, real-time environment
- Experience managing incidents, escalations, and customer-impacting issues
- Strong systems thinker with a track record of building scalable processes and tooling
- Ability to operate as a hands-on leader and operator
- Excellent cross-functional collaboration skills across Product, Engineering, Compliance, and CX
- Comfort in fast-paced, ambiguous environments with a bias for action and ownership.
Benefits:
- Competitive base salary, stock options, and health benefits from Day 1
- 401(k) plan with company match
- Remote-friendly (US), flexible time off (FTO), and opportunities for growth
- A high-growth, mission-driven, inclusive culture where your work has real impact.
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