Brokerage Operations Manager

Savvy Insurance Services, Inc.

Job Overview

Location

NYC Office

Job Type

Full-time

Full Job Description

📋 Description

• The Brokerage Operations Manager will own day-to-day operations for Savvy's broker-dealer, ensuring seamless trade execution, reconciliation, and regulatory compliance.
• This role sits at the center of all trading workflows from pre-trade setup through post-trade settlement, and is responsible for maintaining operational excellence as Savvy scales trade volume.
• You'll work closely with Investment Operations, Compliance, and Fidelity's clearing team to ensure best execution, resolve exceptions, and build scalable processes.
• This role requires strong attention to detail, process orientation, comfort leveraging AI tools to improve efficiency and accuracy, and the ability to manage multiple workflows simultaneously in a fast-paced startup environment.
• The Brokerage Operations Manager will own end-to-end brokerage lifecycle support and exception handling, including monitoring post-trade exceptions and settlement issues, executing trade error corrections and reconciliation, and managing corporate action communications.
• You'll also be responsible for monitoring cash, margin, and position breaks, working with Fidelity's margin specialist, and monitoring TRACE reporting for fixed income.
• Additionally, you'll approve domestic money movement, approve international wires, monitor and process AML alerts, process RCD deposits, review new account opening exceptions, and monitor account restrictions.
• In the Compliance Operations area, you'll prepare FOCUS reports, track escheatment, support FINRA and audit requests, and prepare client complaint and resolution reports.
• The ideal candidate will have 3-5 years of total experience across investment banking, consulting, or fintech startups, with a strong process orientation and comfort operating with real ambiguity.
• You'll also need to be comfortable partnering across Investment Operations, Compliance/Legal, and Product/Engineering, and comfortable using AI/automation tools to reduce manual reconciliation and exception-detection work.
• Experience at a high-growth fintech or startup, or building an operations function from the ground up, is also a plus.

🎯 Requirements

• 3-5 years of total experience across investment banking, consulting, or fintech startups
• High attention to detail and comfort operating with real ambiguity
• Strong process orientation: able to build SOPs and controls where none exist today
• Comfortable partnering across Investment Operations, Compliance/Legal, and Product/Engineering
• Comfort using AI/automation tools to reduce manual reconciliation and exception-detection work

🏖️ 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), vision related benefits (XP 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)

Skills & Technologies

Spring

Onsite

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Savvy Insurance Services, Inc.

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About Savvy Insurance Services, Inc.

Savvy combines technology and human financial advisors to provide wealth management services. The firm delivers personalized financial plans and investment strategies tailored to individual client goals. Savvy's advisors are located across the U.S. and can be found through their online search tool, with a focus area for each advisor. The company offers a dashboard for clients to track investments and progress towards financial goals. Savvy targets a wide range of clients, offering specialized services, such as P&G employee benefits and small business tax planning. Savvy has over $3 billion in assets under management.

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