Operations Control, Senior Manager

📋 Description

• Design, implement, and maintain the Ops Control framework across back-office operations including settlement, clearing, custody, cashiering, margin, stock loan, and customer communications
• Oversee ICOC review design, testing, and documentation to ensure reviews are risk-based, well-documented, and regulatory compliant
• Independently verify that large and aged deficits, suspense items, stock record breaks, securities lending breaks, aged recalls, and fail positions are identified, escalated, and resolved within defined timeframes
• Independently oversee and test operational processes performed by ops teams to confirm controls are properly designed, operating as intended, and consistently followed
• Maintain a centralized controls inventory and monitoring hub (GRC tooling, dashboards, or internal platforms) covering control ownership, testing cadence, issues, and remediation status
• Conduct thematic reviews to identify systemic control weaknesses and emerging risks

Qualifications (Must-Haves)

• 7+ years of experience in clearing broker-dealer back-office operations, Ops Control, or related control functions
• Prior leadership experience in Ops Control, Clearing Operations, or Financial Control
• Demonstrated hands-on knowledge of SEA Rules 15c3-1 and 15c3-3
• Margin and rehypothecation rules
• FINRA Uniform Practice Code (Rule 11000 Series)
• Broker fails, buy-ins, DK resolution, and exception management
• Direct experience supporting FINRA/SEC examinations

🎁 Benefits

• Competitive Salary & Stock Options
• Health Benefits
• New Hire Home-Office Setup: One-time USD $500
• Monthly Stipend: USD $150 per month via a Brex Card