Brokerage Operations Manager

Job not on LinkedIn

🔥 2 minutes ago

🇺🇸 United States – Remote

💵 $115k - $140k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

⚙️ Operations

👻 Ghost score 0%

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Aries.com

WebsiteLinkedInAll Job Openings

2 - 10 employees

Founded 2021

💳 Fintech

💸 Finance

🔌 API

💰 Later Stage VC on 2024-06

Fintech • Finance • API

Aries is a US-based brokerage that offers trading in U. S. -listed stocks, ETFs, options and index options. It provides a customizable browser trading desk called Aries Infinite, a mobile app (Aries Mobile), and a developer/API-first offering (finance. dev) that exposes the same account, data and trading capabilities used by its front-end products. Eligible customers and developers can connect trading agents and AI tools via an Aries MCP server and finance. dev APIs; brokerage services are offered through RAM Financial LLC with clearing by Apex Clearing Corporation. Aries emphasizes developer access, AI integrations, and a single API behind web, mobile and programmatic access.

📋 Description

• Lead, hire, and coach the operations team; set standards and maintain accountability • Serve as the registered principal over operations and maintain updated Written Supervisory Procedures • Oversee daily reconciliations, operational controls, and exception reviews • Act as the main contact for Apex Clearing and resolve breaks, rejects, and service issues • Investigate and clear position, cash, trade, settlement, margin, and buying power breaks • Manage equities and listed options across the trade lifecycle, including exercises, assignments, and corrections • Oversee money movement, ACATS, new accounts, and account maintenance • Manage margin calls, corporate actions, and other operational exceptions • Identify recurring problems and implement permanent fixes • Work with Product and Engineering to automate manual tasks and improve dashboards and exception monitoring • Assist Compliance with FINRA and SEC exams, inquiries, and regulatory reporting • Support advisor onboarding and book transitions • Report to the Head of Brokerage and serve as the final escalation point for operational issues

🎯 Requirements

• 5+ years’ experience in brokerage, clearing, or broker-dealer operations • 2+ years in a people management or operations lead role • FINRA Series 24 required, or willingness to obtain within 90 days of hire • Series 7 and SIE required • Experience with a fully disclosed clearing firm, ideally Apex • Strong grasp of the U.S. securities trade lifecycle, cashiering, ACATS, margin, and corporate actions • Solid experience with equities and listed options • Experience working through position, cash, trade, settlement, or reconciliation breaks • Proficiency with Excel or Google Sheets and large data sets across several systems • Ability to provide coverage during U.S. market hours • Bonus: Series 4, Options Principal, or Series 9/10 • Bonus: Experience at an IBD or fintech broker-dealer • Bonus: SQL skills • Bonus: Experience with APIs, SFTP, CSV, JSON, FIX, or similar financial data formats • Bonus: Experience building or automating reconciliations, dashboards, or exception monitoring • Bonus: Familiarity with CAT/CAIS, Rule 605/606, or similar broker-dealer regulatory reporting • Must be legally authorized to work in the United States without current or future visa sponsorship • Must live in the United States

🏖️ Benefits

• Bonus details available • Health benefits details available • PTO details available • Aries pays for licensing and continuing education

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