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Brokerage Operations Manager Jobs (NOW HIRING)

M1 Finance

Brokerage Operations Manager

Chicago, IL · On-site +1

$140K - $160K/yr

Lead and develop a team, providing coaching, prioritization, and performance management * Own the supervision of daily brokerage operations workflows including: cash, position, and trading ...

M1 Finance

Brokerage Operations Manager

Chicago, IL · On-site

$140K - $160K/yr

Lead and develop a team, providing coaching, prioritization, and performance management * Own the supervision of daily brokerage operations workflows including: cash, position, and trading ...

Empower

Brokerage Operations Specialist

$55K - $76K/yr

Coordinate procedure updates with management to improve operational efficiency, accuracy, and completeness. * Support all aspects of Self-Directed Brokerage processing, as needed. * Collaborate with ...

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How much do brokerage operations manager jobs pay per year?

As of Aug 21, 2026, the average yearly pay for brokerage operations manager in the United States is $63,456.00, according to ZipRecruiter salary data. Most workers in this role earn between $41,000.00 and $77,500.00 per year, depending on experience, location, and employer.

What is a brokerage operations manager?

Brokerage Operations Managers are professionals responsible for overseeing the daily operations of a brokerage firm, ensuring that all transactions and processes run smoothly and comply with industry regulations. Their duties typically include supervising staff, managing trade settlements, monitoring compliance, and implementing operational procedures to increase efficiency. They play a crucial role in risk management, customer service, and maintaining strong relationships with clients, regulators, and other financial institutions.

What are some typical challenges a brokerage operations manager faces in ensuring smooth transaction processing?

A Brokerage Operations Manager often encounters challenges related to managing high transaction volumes, ensuring regulatory compliance, and maintaining data accuracy. Coordinating among different departments—such as compliance, trading, and client services—requires strong communication skills and the ability to resolve issues promptly. Additionally, adapting to rapidly changing financial regulations and implementing new technologies to streamline operations are key aspects of the role. Successfully navigating these challenges helps maintain client trust and operational efficiency.

What are the key skills and qualifications needed to thrive as a brokerage operations manager, and why are they important?

To thrive as a Brokerage Operations Manager, you need strong knowledge of financial markets, operations management, and regulatory compliance, often supported by a degree in finance, business, or a related field. Familiarity with trading platforms, clearing and settlement systems, and certifications such as FINRA Series 7 or 99 are typically required. Outstanding leadership, problem-solving, and communication skills enable effective team management and cross-departmental coordination. These competencies ensure smooth trade execution, regulatory adherence, and efficient workflow within the brokerage environment.

What is the difference between Brokerage Operations Manager vs Brokerage Associate?

AspectBrokerage Operations ManagerBrokerage Associate
CredentialsRelevant licenses (e.g., Series 7, 63), industry certificationsLikewise, licenses such as Series 7, 63, but typically less managerial experience
Work EnvironmentOversees operational processes, manages teams, ensures complianceSupports client transactions, processes trades, assists senior staff
Employer & Industry UsageUsed in brokerage firms, financial institutions, investment firmsCommonly employed in brokerage firms, financial services

The Brokerage Operations Manager focuses on overseeing daily operations, compliance, and team management within brokerage firms. In contrast, the Brokerage Associate primarily supports transaction processing and client service. Both roles require relevant licenses, but the manager role involves more leadership and oversight responsibilities.

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Brokerage Operations Manager jobs near you
Infographic showing various Brokerage Operations Manager job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 84% Full Time, 11% Part Time, 1% Temporary, 2% Contract, and 1% Nights. Highlights an 94% Physical, 2% Hybrid, and 4% Remote job distribution, with an average salary of $63,456 per year, or $30.5 per hour.

Brokerage Operations Manager

Savvy Advisors, Inc.

New York, NY • On-site

$117K - $131K/yr

Full-time

Medical, Dental, Vision, Retirement, PTO

Re-posted yesterday

Job description

About Savvy Wealth:
Wealth management is a $545 billion industry that still runs on manual work. 75% of advisors offer no digital communication beyond email, and most still build financial plans by hand in Excel. Savvy is reinventing what it looks like to be a financial advisor. Founder Ritik Malhotra saw the fragmentation firsthand after seeking out his own advisor, and started Savvy to give independent advisors a modern, AI-native home.
Savvy is a registered investment advisor (RIA), and we partner with experienced financial advisors who want to grow without running the back office themselves. Advisors bring their book and join Savvy, running under their own brand (or ours), and Savvy earns a percentage of the assets they manage. In return, they get a true business-in-a-box: a proprietary tech platform and client portal, an in-house marketing team that helps them grow, a world-class investment management team, and a dedicated client services team that runs day-to-day operations and support. Advisors at Savvy service up to 50% more households and save 19 hours a week.
AI runs through everything we do. On the product side, Savvy Intelligence (released April 2026) is the only AI built for wealth managers that can see a client's complete financial picture. Internally, everyone at Savvy uses Claude and is encouraged to experiment with it, backed by a dedicated AI enablement team and a RevOps org building agents in-house.
We're a Series B company hitting our stride, with roughly 150 employees and over 500% year-over-year growth, backed by $105M from Thrive Capital, Index Ventures, Canvas Ventures, and Mark Casady (former CEO of LPL Financial). Come help us scale!
Recognition:
We're a Certified Great Place to Work and have been honored for our culture and our growth:
  • Newsweek's America's Greatest Startup Workplaces (2026)
  • Fortune Best Workplaces in New York™ (2026)
  • Great Place to Work Certified™

The Role:
The Brokerage Operations Manager will own day-to-day operations for Savvy's broker-dealer, ensuring seamless execution, reconciliation, and regulatory compliance. This role sits at the center of all operational workflows from trade setup through settlement, and is responsible for maintaining operational excellence as Savvy scales trade volume. You'll work closely with Investment Operations, Legal & Compliance, and third-party vendors team to ensure best execution 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.
Responsibilities:
Brokerage OperationsAs Savvy launches its broker-dealer, this role will be responsible for building and owning the following functions end-to-end:
  • Build and run the end-to-end operational workflow across the brokerage lifecycle, resolving issues as they arise
  • Establish a process for monitoring post-trade activity and resolving issues before they become bigger problems
  • Create the workflow for investigating and correcting errors, and keeping records reconciled and accurate
  • Build the framework for managing corporate action communications
  • Establish quality-control review processes and documentation to ensure we're meeting our obligations
  • Build the workflow for supporting regulatory reporting requirements across product types
  • Identify opportunities to deploy AI tools and agentic workflows to automate reconciliation, exception detection, and error-resolution processes

Account & Cashiering Operations
  • Design and run the workflow for reviewing, approving, and processing client money movement requests, including domestic and international transfers
  • Build and maintain monitoring processes to flag anomalous account activity and ensure timely escalation
  • Establish a repeatable process for managing deposits end-to-end, from receipt to posting
  • Create and refine the process for triaging and resolving new account setup exceptions
  • Build the framework for maintaining and updating account restrictions, ensuring accuracy across systems
  • Leverage AI and automation to streamline approval workflows and flag anomalies faster and more accurately

Legal & Compliance Operations
  • Support the Legal & Compliance team with FINRA and audit requests
  • Prepare client complaint and resolution reports
  • Explore AI-driven tools and agentic workflows to reduce manual effort in reporting and audit preparation

Must Have:
  • 3-5 years of total experience across investment banking, consulting, or fintech startups
  • High attention to detail and comfort operating with real ambiguity - this function is being built from scratch
  • 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
  • Experience at a high-growth fintech or startup, or building an operations function from the ground up

Nice to Have:
  • Prior experience at an introducing broker-dealer or clearing firm (e.g., Fidelity NFS, Pershing, Apex)
  • Familiarity with cashiering operations: money movement approvals, wire approvals, AML alert monitoring
  • Working knowledge of the trade lifecycle
  • Understanding of FINRA/SEC compliance reporting requirements
  • SIE, Series 4, 53
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) 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)

Apply