Manager, Head of Broker Dealer Operations @Brex

Overview

Brex is seeking a Head of Broker-Dealer Operations to ensure the execution and compliance of daily trading activities. This role is critical for defining the control environment and building the operating rhythms that maintain a high-stakes monitoring function.

Key Responsibilities

• Ensure all trading activities are performed accurately and in compliance.
• Create and maintain auditable documented processes for various external stakeholders and regulators.
• Build a control framework ensuring validity and completeness of trading activity.
• Develop an incident response and remediation playbook for anomalies or errors.
• Resolve audit or regulatory findings in a timely manner.
• Manage escheatment processes ensuring accuracy and compliance.
• Collaborate with Compliance to ensure marketing of investment options meets regulations.
• Partner with various teams to strengthen controls and support operational readiness.

Requirements

• 5+ years of experience in US banking operations or securities trading.
• Series 7, 63, and 24 licenses.
• Experience with regulated high-risk money movement workflows.
• Strong judgment for risk assessment and documentation.
• Cross-functional collaboration experience with legal and other teams.
• Experience with audits and high-severity operational escalations.
• Familiarity with AML, sanctions, and transaction monitoring programs.
• Clear communication skills for operational guidance and updates.

Benefits

Brex offers a hybrid work environment that combines office presence with remote flexibility. Employees can work fully remotely for up to four weeks per year.

Location

This role is based in New York City, requiring a minimum of three days in the office per week.

How to Apply

Interested candidates should apply via the appropriate company channels.