Brokerage Operations Manager

Savvy Wealth

Brokerage Operations Manager responsible for trade execution, regulatory compliance, and operational excellence at fintech startup Savvy Wealth. Collaborating with Investment Operations, Compliance, and Fidelity's clearing team.

Posted 7/21/2026full-timeNew York City • New York • 🇺🇸 United StatesMid-LevelSenior💰 $95,000 - $130,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in trade execution, reconciliation, and regulatory compliance within a broker-dealer environment, with a strong focus on building scalable processes and managing exceptions. Proficient in AML monitoring, FINRA compliance, and operational best practices in a high-growth fintech setting.

Highest-signal resume keywords

Trade ExecutionRegulatory ComplianceAML MonitoringFINRA Compliance ReportingProcess Orientation

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

ReconciliationException HandlingSOP DevelopmentCashier OperationsTrade Lifecycle KnowledgeError CorrectionFOCUS ReportingCorporate Action ManagementBlock Allocation MonitoringMoney Movement Approvals

Soft Skills

Attention to DetailComfort with AmbiguityCollaborationProblem Solving

Tools & Technologies

AI ToolsAutomation Tools

Certifications & Qualifications

SIESeries 4Series 53

Industry Keywords

Broker-DealerFintechInvestment OperationsComplianceAudit SupportClearing FirmFidelityPershingApexEscheatment

Tech Stack

Tools & technologies

NFS

About the role

Key responsibilities & impact

Own day-to-day operations for Savvy's broker-dealer, ensuring seamless trade execution, reconciliation, and regulatory compliance
Work closely with Investment Operations, Compliance, and Fidelity's clearing team to ensure best execution, resolve exceptions, and build scalable processes
Monitor post-trade exceptions and settlement issues
Execute trade error corrections and reconciliation
Monitor block allocation and reconciliation (BTAM)
Manage corporate action communications
Own best execution review and documentation
Monitor cash, margin, and position breaks, working with Fidelity's margin specialist
Approve domestic money movement and international wires
Monitor and process AML alerts
Prepare FOCUS reports and track escheatment
Support FINRA and audit requests
Prepare client complaint and resolution reports

Requirements

What you’ll need

3-5 years of total experience across investment banking, consulting, or fintech startups
High attention to detail and comfort operating with real ambiguity — this function is being built from scratch
Strong process orientation: able to build SOPs and controls where none exist today
Comfortable partnering across Investment Operations, Compliance/Legal, and Product/Engineering
Comfort using AI/automation tools to reduce manual reconciliation and exception-detection work
Experience at a high-growth fintech or startup, or building an operations function from the ground up
Nice to have: Prior experience at an introducing broker-dealer or clearing firm (e.g., Fidelity NFS, Pershing, Apex)
Familiarity with cashiering operations: money movement approvals, wire approvals, AML alert monitoring
Working knowledge of the trade lifecycle (execution through settlement) and exception handling (breaks, fails, corrections)
Understanding of FINRA/SEC compliance reporting requirements (e.g., FOCUS reports, escheatment, audit/exam support)
SIE, Series 4, 53

Benefits

Comp & perks

Competitive salary and equity package
Unlimited PTO + paid company holidays
Access to holistic medical, dental, and vision plans
Company 401(k), Commuter, and HSA/FSA plans
NYC office in the heart of Manhattan
Lunch and snacks provided in the office
Access to virtual mental health care (Spring Health), vision related benefits (XP Health), and health concierge (Rightway) to help you find the right care
Access to counseling for stress management, dependent care, nutrition, fitness, legal, and financial issues (Guardian WorkLifeMatters EAP)