Senior Brokerage Operations Manager

The Role:

Savvy's introducing broker-dealer is live, but the trading desk operation underneath it is still a work in progress. Trade supervision, best execution review, and principal-level sign-off have been handled ad hoc, split across a few people without a dedicated senior owner. As Sr. Brokerage Operations Manager, you'll be the licensed principal of record for trading activity and the primary operations counterpart to our General Counsel/CCO. This is a senior, high-visibility role: you'll operate as a peer to Legal/Compliance and Business Operations.

Responsibilities:

Trading Desk Leadership

• Build and own Savvy's trading desk operation end-to-end — trade lifecycle, execution quality, and best execution review — as the function's senior owner
• Serve as the licensed principal (Series 7/24) of record for trading activity, holding personal sign-off authority on trades, account actions, and exceptions requiring principal review
• Design and run Savvy's best execution program, holding Fidelity (and future execution venues) accountable to execution quality standards
• Own CAT/CAIS and Rule 605/606 regulatory trade reporting
• Drive AI/automation opportunities across the trading desk and back office — reducing manual reconciliation, exception detection, and compliance documentation — with a bias toward building rather than scaling headcount

Regulatory & Principal Oversight

• Serve as CCO's primary operations counterpart on broker-dealer regulatory matters
• Resolve open licensing and supervisory-control ambiguities (e.g., manual vs. API-based account entry, principal pre-approval parameters) into documented, auditable policy
• Own FINRA examination readiness: supervisory review documentation, WSP maintenance, and audit-trail/document-versioning infrastructure
• Personally own escalation and disclosure decisions on regulatory-adjacent issues — late reviews, trade breaks above threshold, unusual trading patterns
• Experience building document versioning or audit-trail infrastructure

Account, Cashiering & Compliance Operations

• Own the strategic design of account and cashiering operations — money movement approvals, wire approvals, AML alert escalation, account restriction management
• Partner with Legal & Compliance on FINRA/audit requests, complaint reporting, and escheatment tracking
• Own the Fidelity relationship and vendor management for broker-dealer operations, transitioning fully from Rohan over time

Must Have:

• 6-8+ years of broker-dealer operations experience, including having personally built a brokerage/trading operations function from scratch (e.g., at an RIA custodian, broker-dealer, or clearing firm)
• Series 7, 63 and 24 licenses
• Deep knowledge of the trade lifecycle, best execution, and regulatory trade reporting (CAT/CAIS, Rule 605/606)
• Comfortable operating as a senior peer to Legal/Compliance and company leadership — presents and defends decisions directly, doesn't need managing
• Experience preparing for or supporting a FINRA/SEC examination
• High comfort with ambiguity — this function and its controls are being built from scratch
• AI-first builder mindset with a track record of automating manual ops work rather than scaling through headcount
• Background in a high-growth fintech or startup environment

Nice to Have:

• Additional licensing (Series 4, 53, 54, 9/10 or 99)
• Experience owning a clearing firm relationship (e.g., Fidelity NFS)

Benefits:

• 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)