Brokerage Operations Manager (Fintech, Remote)

Job summary

This role involves overseeing brokerage operations with a focus on margin and options management in a dynamic fintech environment. The position requires real-time monitoring of customer activities and adherence to regulatory standards.

Qualifications

• Series 7 and 63 licenses required; Series 4 preferred or ability to obtain within three months.
• Minimum of 3 years of experience in brokerage operations.
• Strong attention to detail and ability to work in a fast-paced setting.
• Familiarity with FINRA and OCC regulations and systems.
• Ability to work both independently and collaboratively in a team.
• Adaptability to changing business and regulatory landscapes.

Responsibilities

• Monitor customer trading activities to manage margin and options risk.
• Review daily reports and address any exceptions.
• Ensure compliance with Federal Reserve Regulation T and FINRA Rule 4210 during margin calls.
• Execute option expiration processes and implement risk mitigation strategies.
• Provide customer service support and drive process improvements.
• Review fraud alerts regularly and perform ad hoc duties as assigned.

Skills

• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills.
• Ability to manage multiple tasks and prioritize effectively.

Education

• Relevant certifications and licenses as mentioned in qualifications.

Tools

• Brokerage and trading systems, compliance software, reporting tools.