Remote
$112k–$188k
senior
2 months ago
full-time
quality 9.2/10
- Design, implement, and maintain the Ops Control framework across back-office operations.
- Oversee ICOC review design, testing, and documentation.
- Independently verify and resolve operational issues within defined timeframes.
- Maintain a centralized controls inventory and monitoring hub.
- Conduct thematic reviews to identify systemic control weaknesses.
- Lead Ops Control exam preparedness for audits and examinations.
- Partner with Product and Engineering to incorporate operational control considerations.
- Drive automation and use of advanced tooling to improve control effectiveness.
- 7+ years of experience in clearing broker-dealer back-office operations or related control functions.
- Leadership experience in Ops Control, Clearing Operations, or Financial Control.
- Hands-on knowledge of SEA Rules 15c3-1 and 15c3-3, margin and rehypothecation rules, FINRA Uniform Practice Code.
- Proven ability to identify, test, and challenge operational controls.
- Experience supporting FINRA and SEC examinations.
- Clear communicator able to summarize findings for stakeholders.
- Comfortable operating independently in a fast-paced environment.
- Competitive Salary & Stock Options
- Health Benefits
- New Hire Home-Office Setup: One-time USD $500
- Monthly Stipend: USD $150 per month via a Brex Card
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