Brokerage Operations Lead

Summary

Join One as the Brokerage Operations Lead and build, optimize, and manage key operational processes for One’s brokerage services. You will ensure seamless and accurate execution of critical functions, impacting One’s vision by creating robust systems and processes that enhance customer trust and operational efficiency. Collaborate with various teams, including Customer Service Operations, Product, and Compliance, to drive process excellence and scalability. This role requires significant experience in brokerage operations, specific licenses, and a deep understanding of SEC/FINRA regulations. The estimated annual base salary ranges from $175,000 to $200,000.

Requirements

• 5-10+ years of brokerage operations leadership experience
• Licenses: Series 7, 63, 24, and 27 (Required)
• Deep understanding and comprehensive knowledge of SEC/FINRA rules and regulations
• An act-like-an-owner mentality
• Deep knowledge of brokerage operations, including experience with money movement, trade corrections, and corporate actions
• Strong analytical and problem-solving skills, with the ability to design and optimize processes
• Excellent collaboration and communication skills to work effectively across teams
• Experience in leveraging technology and automation to improve operational efficiency

Responsibilities

• Establish and manage processes related to money movement, trade corrections, corporate actions, and other brokerage-related operations
• Build and maintain error management systems to identify, rectify, and prevent trade-related issues
• Oversee the accurate and timely execution of corporate actions, including dividends, stock splits, and proxy voting
• Partner with the Customer Service Operations team to address and resolve customer queries and issues efficiently, and oversee escalated customer inquiries
• Collaborate with Product and Technology teams to streamline operations through automation and technology enhancements
• Ensure compliance with regulatory requirements and coordinate with Compliance and Legal teams to mitigate operational risks
• Manage key vendor relationships to ensure compliance with applicable rules
• Be the primary liaison between One and our clearing BD partner

Benefits

The estimated annual base salary for this position ranges from $175,000 - $200,000