Brokerage Operations Manager

Job Description

• Lead and develop a team, providing coaching, prioritization, and performance management
• Own the supervision of daily brokerage operations workflows including: cash, position, and trading reconciliations across firm and client accounts; ACATS and non-ACATS transfer processing end-to-end, including exception resolution and escalation; margin operations including margin calls, Reg T compliance, and portfolio margin monitoring; account maintenance workflows including new account review, ongoing maintenance, and user account activity monitoring; tax reporting operations including 1099 preparation, cost basis reporting, and wash sale adjustments
• Partner with Legal, Compliance, Product, and Engineering to establish, monitor, and manage key risk indicators across all operational functions
• Identify and lead automation and process improvement initiatives to scale operational capacity
• Develop and maintain written procedures, controls documentation, and risk frameworks for middle office functions
• Support regulatory examinations, audits, and ad hoc reporting requests