Manager, Broker Dealer Operations

📋 Description

• Ensure all trading activities at Brex are performed accurately and in a compliant manner.
• Create and maintain documented processes that are auditable by various external stakeholders and
• Build a control framework that provides extremely high confidence in the validity, accuracy, and
• Build and maintain an incident response, investigation, and remediation playbook to ensure we are
• Drive any future audit or regulatory findings to resolution in a timely manner
• Manage escheatment processes and oversight ensuring accuracy, completeness, and compliance.

🎯 Requirements

• 5+ years of experience in US banking operations, securities trading, or a related function within a
• Series 7, 63, and 24
• Experience with regulated high-risk money movement workflows.
• Strong judgment, including the ability to assess risk, make sound escalation decisions, and
• Experience partnering cross-functionally with teams such as Compliance, Legal, Product
• Experience leading through audits, incidents, regulatory exams, or high-severity operational