Manager, Head of Broker Dealer Operations @Brex

Overview

The Head of Broker Dealer Operations at Brex will ensure the execution and compliance of daily trading activities, defining control environments for the trading function and establishing operational frameworks.

Key Responsibilities

• Ensure all trading activities at Brex are performed accurately and in compliance.
• Create and maintain documented processes that are auditable by external stakeholders and regulators.
• Build a control framework to ensure the validity, accuracy, and completeness of all required trading activities.
• Establish an incident response and remediation playbook for quick and thorough responses to anomalies.
• Drive resolution of any audit or regulatory findings in a timely manner.
• Manage escheatment processes ensuring accuracy and compliance.
• Collaborate with Compliance to ensure marketing of investment options is compliant with regulations.
• Partner closely with Compliance, Legal, Product, Engineering, and external banking partners to strengthen controls and operational readiness.

Requirements

• 5+ years of experience in US banking operations, securities trading, or related functions.
• Active Series 7, 63, and 24 licenses.
• Experience with regulated high-risk money movement workflows.
• Strong judgment for assessing risk and maintaining audit-ready documentation.
• Experience working with cross-functional teams to resolve issues and enhance processes.
• Experience leading audits, incidents, or regulatory exams.
• Familiarity with AML, sanctions, fraud, or transaction monitoring programs.
• Clear written and verbal communication skills.

Benefits

Brex offers a hybrid work environment with a minimum of three coordinated days in the office per week and up to four weeks of fully remote work per year.

Location

This role is based in the San Francisco office.

How to Apply

Please visit Brex's career page to apply for this position.