Manager, Head of Broker Dealer Operations @Brex

Overview

The role of Head of Broker-Dealer Operations at Brex involves ensuring compliance and accuracy in daily trading activities. Brex is an intelligent finance platform that empowers companies by combining corporate cards and banking with spend management software.

Key Responsibilities

• Ensure all trading activities are performed accurately and compliantly.
• Create and maintain auditable documented processes for external stakeholders and regulators.
• Build a control framework for trading activities, ensuring validity and accuracy.
• Develop an incident response and remediation playbook for anomalies or errors.
• Resolve audit or regulatory findings in a timely manner.
• Manage escheatment processes ensuring compliance and accuracy.
• Work with Compliance to ensure investment marketing complies with regulations.
• Collaborate with Compliance, Legal, Product, Engineering, and banking partners to strengthen controls and support operational readiness.

Requirements

• 5+ years of experience in US banking operations, securities trading, or related function in a regulated financial service.
• Possess Series 7, 63, and 24 licenses.
• Experience with regulated high-risk money movement workflows.
• Strong judgment to assess risk and maintain clear documentation.
• Experience in cross-functional collaboration with various teams.
• Proficient in leading audits and regulatory exams.
• Familiarity with AML, sanctions, and monitoring programs.
• Effective written and verbal communication skills.

Benefits

The role offers a hybrid work environment with a minimum of three days in the Seattle office. Employees can also take advantage of up to four weeks of fully remote work per year.

Location

This is a hybrid role based in Seattle, Washington, United States.

How to Apply

Interested candidates should submit their applications through the Brex career page or contact the Brex recruiting team via the appropriate channels.

Deadline

No specific deadline was provided for this role.