Brokerage Operations Manager

Savvy Wealth

. Own day-to-day operations for Savvy's broker-dealer .

Posted 9/18/2026full-timeNew York City • New York • United StatesMid-LevelSenior💰 $117,000 - $131,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in operational workflows, regulatory compliance, and reconciliation processes within a broker-dealer environment. Proficient in leveraging AI tools for efficiency and accuracy in financial operations.

Highest-signal resume keywords

Operational Workflow ManagementRegulatory Compliance ExpertiseAI/Automation Tool UtilizationInvestment Operations CollaborationError Resolution and Reconciliation

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Operational Workflow DesignRegulatory ReportingSOP DevelopmentException DetectionTrade Lifecycle KnowledgeCashiering OperationsAML Alert Monitoring

Soft Skills

Attention to DetailProcess OrientationProblem-Solving

Tools & Technologies

AI ToolsAutomation Tools

Certifications & Qualifications

SIESeries 4Series 53

Industry Keywords

Broker-DealerFintechInvestment BankingComplianceFINRASEC

Tech Stack

Tools & technologies

NFS

About the role

Key responsibilities & impact

Own day-to-day operations for Savvy's broker-dealer
Ensure seamless execution, reconciliation, and regulatory compliance
Build and run end-to-end operational workflows across the brokerage lifecycle
Monitor post-trade activity and resolve issues proactively
Create workflows for investigating and correcting errors while maintaining accurate reconciliations
Build the framework for corporate action communications
Establish quality-control review processes and documentation
Support regulatory reporting requirements across product types
Identify and deploy AI tools and agentic workflows for reconciliation, exception detection, and error resolution
Design and run workflows for reviewing, approving, and processing domestic and international client money movements
Monitor anomalous account activity and escalate issues promptly
Manage deposits from receipt through posting
Triage and resolve new account setup exceptions
Maintain and update account restrictions across systems
Support Legal & Compliance with FINRA and audit requests
Prepare client complaint and resolution reports
Explore AI-driven tools and agentic workflows to reduce manual effort in reporting and audit preparation
Partner with Investment Operations, Legal & Compliance, Product/Engineering, and third-party vendors

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
Prior experience at an introducing broker-dealer or clearing firm (e.g., Fidelity NFS, Pershing, Apex) (nice to have)
Familiarity with cashiering operations: money movement approvals, wire approvals, AML alert monitoring (nice to have)
Working knowledge of the trade lifecycle (nice to have)
Understanding of FINRA/SEC compliance reporting requirements (nice to have)
SIE, Series 4, 53 (nice to have)
Able to work a 4-day-per-week in-office schedule in Manhattan
Must be based in New York or willing to relocate to New York
Sponsorship-to-work-in-the-US status is addressed in the application form

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) 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)