Senior Brokerage Operations Manager

Savvy
New York
Workplace: HybridFull timeUSD 160,000 - 180,000 annuallyFunction: Business OperationsExperience: 6-8 yearsSkills: ["Senior stakeholder communication","Regulatory compliance mindset","Building operations controls","High-ambiguity decision making","Automation mindset"]

Serve as the licensed principal of record for Savvy’s trading activity and lead end-to-end trading desk operations, including trade lifecycle, execution quality, and best execution review. Own regulatory trade reporting (CAT/CAIS and Rule 605/606), ensure FINRA examination readiness, and resolve supervisory-control ambiguities into auditable policy. Partner with Legal/Compliance and Business Operations on broker-dealer matters, escalation, and compliance documentation while driving automation to reduce manual work.

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FursaFursa
Savvy
Savvy
3 days ago

Senior Brokerage Operations Manager

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Last checked: 4 hours agoStatus: Live

Job Summary

Serve as the licensed principal of record for Savvy’s trading activity and lead end-to-end trading desk operations, including trade lifecycle, execution quality, and best execution review. Own regulatory trade reporting (CAT/CAIS and Rule 605/606), ensure FINRA examination readiness, and resolve supervisory-control ambiguities into auditable policy. Partner with Legal/Compliance and Business Operations on broker-dealer matters, escalation, and compliance documentation while driving automation to reduce manual work.
Location: New York
Workplace: Hybrid
Employment Type: Full time
Job Function: Business Operations
Seniority: Mid level

Key Responsibilities

  • •Build and own the trading desk operation end-to-end, including trade lifecycle, execution quality, and best execution review.
  • •Serve as the licensed principal (Series 7/24) for trading activity, providing personal sign-off authority on trades and exceptions.
  • •Design and run the best execution program and own CAT/CAIS and Rule 605/606 regulatory trade reporting.
  • •Act as CCO’s primary operations counterpart on broker-dealer regulatory matters, including resolving supervisory-control ambiguities into auditable policy.
  • •Own FINRA examination readiness and escalation/disclosure decisions on regulatory-adjacent issues, and automate manual reconciliation and compliance documentation across the desk/back office.

Pay and Benefits

Salary: USD 160,000 - 180,000 annually
Equity and Bonus:Equity
Perks:Health InsuranceDentalVisionPaid Leave401kHsa/fsaCommuter Benefits

Key Requirements

  • •6-8+ years of broker-dealer operations experience, including building a brokerage/trading operations function from scratch.
  • •Series 7, 64 and 24 licenses.
  • •Deep knowledge of trade lifecycle, best execution, and regulatory trade reporting (CAT/CAIS, Rule 605/606).
  • •Experience preparing for or supporting a FINRA/SEC examination.
  • •Comfort operating as a senior peer to Legal/Compliance and operating in ambiguity while building controls from scratch.
Experience:6-8 yearsFintechBroker-dealer operationsHigh-growth startup
Skills:Senior stakeholder communicationRegulatory compliance mindsetBuilding operations controlsHigh-ambiguity decision makingAutomation mindset
Licenses:Series 7Series 64Series 24
Certifications:Series 7Series 64Series 24

Company Brief

Savvy
Provides wealth management and financial planning services focused on helping individuals and families grow, preserve, and manage their wealth through personalized investment strategies and advisory support.
Industry: Wealth Management
Website