Brokerage Operations Specialist

Wealthfront

Brokerage Operations Specialist managing daily operations functions like Cashiering and Account Maintenance at Wealthfront. Collaborating with teams to improve processes and enhance client experience.

Posted 6/12/2026full-timeRemote • California • 🇺🇸 United StatesJuniorMid-LevelWebsite

About the role

Key responsibilities & impact

Complete daily brokerage operations exception reports including unreconciled activity, margin, corporate actions, etc.
Conduct quality control reviews and regulatory document delivery reconciliation
Perform cashiering duties including verification of incoming wires, checks, ACHs and process withdrawal requests
Provide ongoing account maintenance and review of new and existing account activity for risk mitigation related to AML
Collaborate cross-functionally with other teams at the company, specifically creating strong relationships with engineers
Certain in office tasks as the business requires

Requirements

What you’ll need

Minimum of 2 years brokerage industry experience preferably in a back office role
Securities regulatory knowledge and strong understanding of account transfers, corporate actions/dividends, and trading
Understanding of AML and risk mitigation rules
Strong organizational skills
Customer-centric business philosophy and collaborative mindset
Ability to communicate cross-functionally
Appreciation and understanding of applying technology and software to business processes
Desire to improve processes to increase team efficiency and productivity
Strong work ethic and hands-on approach
Ability to quickly learn proprietary web-based account services applications
Appreciation for compliance and adherence to government regulations
Bachelor's degree in finance, economics, or related field or requisite related work experience
FINRA Series 7 required (or ability to obtain in 90 days)

Benefits

Comp & perks

Competitive salary
Health insurance
Flexible work hours
Professional development budget

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

brokerage operationsquality control reviewscashiering dutiesAMLrisk mitigationaccount transferscorporate actionstradingweb-based account services applications

Soft Skills

organizational skillscustomer-centric philosophycollaborative mindsetcross-functional communicationprocess improvementstrong work ethichands-on approach

Certifications

FINRA Series 7