The Role:Savvy's introducing broker-dealer is live, but the trading desk operation underneath it is still a work in progress. Trade supervision, best execution review, and principal-level sign-off have been handled ad hoc, split across a few people without a dedicated senior owner. As Sr. Brokerage Operations Manager, you'll be the licensed principal of record for trading activity and the primary operations counterpart to our General Counsel/CCO. This is a senior, high-visibility role: you'll operate as a peer to Legal/Compliance and Business Operations.
Responsibilities:Trading Desk Leadership- Build and own Savvy's trading desk operation end-to-end - trade lifecycle, execution quality, and best execution review - as the function's senior owner
- Serve as the licensed principal (Series 7/24) of record for trading activity, holding personal sign-off authority on trades, account actions, and exceptions requiring principal review
- Design and run Savvy's best execution program, holding Fidelity (and future execution venues) accountable to execution quality standards
- Own CAT/CAIS and Rule 605/606 regulatory trade reporting
- Drive AI/automation opportunities across the trading desk and back office - reducing manual reconciliation, exception detection, and compliance documentation - with a bias toward building rather than scaling headcount
Regulatory & Principal Oversight- Serve as CCO's primary operations counterpart on broker-dealer regulatory matters
- Resolve open licensing and supervisory-control ambiguities (e.g., manual vs. API-based account entry, principal pre-approval parameters) into documented, auditable policy
- Own FINRA examination readiness: supervisory review documentation, WSP maintenance, and audit-trail/document-versioning infrastructure
- Personally own escalation and disclosure decisions on regulatory-adjacent issues - late reviews, trade breaks above threshold, unusual trading patterns
- Experience building document versioning or audit-trail infrastructure
Account, Cashiering & Compliance Operations- Own the strategic design of account and cashiering operations - money movement approvals, wire approvals, AML alert escalation, account restriction management
- Partner with Legal & Compliance on FINRA/audit requests, complaint reporting, and escheatment tracking
- Own the Fidelity relationship and vendor management for broker-dealer operations, transitioning fully from Rohan over time
Must Have:- 6-8+ years of broker-dealer operations experience, including having personally built a brokerage/trading operations function from scratch (e.g., at an RIA custodian, broker-dealer, or clearing firm)
- Series 7, 64 and 24 licenses
- Deep knowledge of the trade lifecycle, best execution, and regulatory trade reporting (CAT/CAIS, Rule 605/606)
- Comfortable operating as a senior peer to Legal/Compliance and company leadership - presents and defends decisions directly, doesn't need managing
- Experience preparing for or supporting a FINRA/SEC examination
- High comfort with ambiguity - this function and its controls are being built from scratch
- AI-first builder mindset with a track record of automating manual ops work rather than scaling through headcount
- Background in a high-growth fintech or startup environment
Nice to Have:- Additional licensing (Series 4, 53, 54, 9/10 or 99)
- Experience owning a clearing firm relationship (e.g., Fidelity NFS)
Benefits:- Competitive salary and equity package
- Unlimited PTO + paid company holidays
- Access to holistic medical, dental, and vision plans
- Company 401(k), Commuter, and HSA/FSA plans
- NYC office in the heart of Manhattan
- Lunch and snacks provided in the office
- Access to virtual mental health care (Spring Health) and health concierge (Rightway) to help you find the right care
- Access to counseling for stress management, dependent care, nutrition, fitness, legal, and financial issues (Guardian WorkLifeMatters EAP)
