Broker Dealer Operations, Senior Associate

This is a senior operations role supporting the operational infrastructure behind a U.S. equities brokerage business in a fast-paced financial services environment.
You will serve as a subject-matter expert across critical workflows involving customer accounts, trades, cash, positions, transfers, corporate actions, and regulatory reporting.
The role combines hands-on operational ownership with strong controls, reconciliation, exception management, and process improvement.
You will investigate complex issues, coordinate resolution across multiple teams, and strengthen the reliability and scalability of broker-dealer operations.
A key focus will be transforming recurring manual processes into durable workflows, improved tooling, and automation.
You will work closely with Engineering, Product, Compliance, Finance, Legal, Risk, Trading, Customer Experience, and external clearing partners.
This opportunity is ideal for an experienced financial operations professional who thrives in regulated environments and enjoys connecting operational expertise with technology and process innovation.

• 5+ years of experience in financial services operations, broker-dealer operations, clearing and settlement, trade support, or a related operational control function.
• Direct experience with the U.S. equities trade lifecycle, including order processing, trade settlement, positions, cash movements, corporate actions, and securities transfers.
• Demonstrated ability to independently investigate and resolve complex operational issues across multiple systems, including situations where established procedures or runbooks do not fully address the scenario.
• Proven experience creating or materially improving SOPs, runbooks, controls documentation, process maps, audit-support materials, or similar documentation within a regulated environment.
• Hands-on experience with clearing firm or broker-dealer platforms such as Apex Clearing, Apex Ascend, or equivalent systems.
• Working proficiency with SQL, Jira, data-quality tools, workflow automation platforms, or comparable operational technology.
• Experience partnering with Engineering and Product teams to translate operational requirements into tooling, alerts, dashboards, automated workflows, or other technology solutions.
• Strong analytical and investigative skills, with the ability to identify root causes, recognize systemic issues, and develop practical solutions.
• Strong communication and stakeholder-management skills, with the ability to coordinate effectively across technical, operational, regulatory, and business teams.
• Ability to manage competing priorities in a high-accountability environment while maintaining accuracy, control discipline, and attention to detail.
• Demonstrated ability to use generative AI responsibly, maintaining human oversight and applying AI-enabled tools to improve workflow efficiency, cost, and quality.