What you'll doAs the Head of Broker-Dealer Operations you will ensure the execution and compliance of our daily trading activities. You'll define the control environment for our trading function, work to strengthen judgment and documentation standards, and build the operating rhythms that keep a high-stakes monitoring function accurate, resilient, and ready to scale.
Responsibilities- Ensure all trading activities at Brex are performed accurately and in a compliant manner.
- Create and maintain documented processes that are auditable by various external stakeholders and regulators.
- Build a control framework that provides extremely high confidence in the validity, accuracy, and completeness of all required trading activity.
- Build and maintain an incident response, investigation, and remediation playbook to ensure we are prepared to respond quickly and thoroughly to any identified anomalies or errors.
- Drive any future audit or regulatory findings to resolution in a timely manner
- Manage escheatment processes and oversight ensuring accuracy, completeness, and compliance.
- Work with our Compliance function to ensure any marketing of investment options is compliant with regulation.
- Partner closely with Compliance, Legal, Product, Engineering, and external banking partners to strengthen controls, resolve issues quickly, and support operational readiness for new workflows and product changes.
Where you'll workThis role will be based in our Seattle office. We are a hybrid environment that combines the energy and connections of being in the office with the benefits and flexibility of working from home. We currently require a minimum of three coordinated days in the office per week, Monday, Wednesday and Thursday. As a perk, we also have up to four weeks per year of fully remote work!
Requirements- 5+ years of experience in US banking operations, securities trading, or a related function within a bank, fintech, or other regulated financial services environment.
- Series 7, 63, and 24
- Experience with regulated high-risk money movement workflows.
- Strong judgment, including the ability to assess risk, make sound escalation decisions, and maintain clear, audit-ready documentation.
- Experience partnering cross-functionally with teams such as Compliance, Legal, Product, Engineering, Treasury, Finance, or external partners to resolve issues and improve processes.
- Experience leading through audits, incidents, regulatory exams, or high-severity operational escalations.
- Familiarity with AML, sanctions, fraud, or transaction monitoring programs in a regulated financial environment.
- Clear written and verbal communication skills, with the ability to turn operational complexity into concise guidance, actionable feedback, and leadership-ready updates.
Bonus pointsThese are a plus, not a requirement. If you meet most of the qualifications above, we'd still encourage you to apply.
- Experience managing an escheatment program
- Experience supporting money market trading and settlement workflows.
- Comfort querying databases (e.g., SQL) and/or AI utilizing data tools to identify trends, improve decision-making, or automate manual work.
- Experience deploying AI into operational workflows with strong judgment on how to deploy AI effectively in a control heavy environment.
- Exposure to working with external banking partners, vendors, or fintech infrastructure providers to improve operational workflows and controls.
CompensationThe expected salary range for this role is 119,328 - 149,160. However, the starting base pay will depend on a number of factors including the candidate's location, skills, experience, market demands, and internal pay parity. Depending on the position offered, equity and other forms of compensation may be provided as part of a total compensation package.
Brex LLC is a wholly owned subsidiary of Capital One, N.A.
Please be aware, job-seekers may be at risk of targeting by malicious actors looking for personal data. Brex recruiters will only reach out via LinkedIn or email with a brex.com domain. Any outreach claiming to be from Brex via other sources should be ignored.
