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Senior Strategy & Operations Manager - Brokerage

Savvy Wealth· Operations
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Hybrid (NYC Office)$160k - $190k + equityFull-timePosted 1mo ago

About the role

Senior, high-visibility role overseeing Savvy's trading desk operations, regulatory compliance, and principal-level trading sign-off. Acts as licensed principal of record for trading activity and main operations counterpart to Legal/Compliance. Builds and runs the trading desk, regulatory program, and related operations from scratch in a fast-growing fintech/wealth tech environment.

Responsibilities

  • Build and own Savvy's trading desk operation end-to-end — trade lifecycle, execution quality, and best execution review — as the function's senior owner
  • Serve as the licensed principal (Series 7/24) of record for trading activity, holding personal sign-off authority on trades, account actions, and exceptions requiring principal review
  • Design and run Savvy's best execution program, holding Fidelity (and future execution venues) accountable to execution quality standards
  • Own CAT/CAIS and Rule 605/606 regulatory trade reporting
  • Drive AI/automation opportunities across the trading desk and back office — reducing manual reconciliation, exception detection, and compliance documentation — with a bias toward building rather than scaling headcount
  • CCO's primary operations counterpart on broker-dealer regulatory matters
  • Resolve licensing and supervisory-control ambiguities into documented, auditable policy
  • Own FINRA examination readiness: supervisory review documentation, WSP maintenance, and audit-trail/document-versioning infrastructure
  • Escalation and disclosure decisions on regulatory-adjacent issues — late reviews, trade breaks above threshold, unusual trading patterns
  • Experience building document versioning or audit-trail infrastructure
  • Own the strategic design of account and cashiering operations — money movement approvals, wire approvals, AML alert escalation, account restriction management
  • Partner with Legal & Compliance on FINRA/audit requests, complaint reporting, and escheatment tracking
  • Own the Fidelity relationship and vendor management for broker-dealer operations, transitioning fully from Rohan over time

Qualifications

  • 6-8+ years of broker-dealer operations experience, including having personally built a brokerage/trading operations function from scratch (e.g., at an RIA custodian, broker-dealer, or clearing firm)
  • Series 7, 63 and 24 licenses
  • Deep knowledge of the trade lifecycle, best execution, and regulatory trade reporting (CAT/CAIS, Rule 605/606)
  • Comfortable operating as a senior peer to Legal/Compliance and company leadership — presents and defends decisions directly, doesn't need managing
  • Experience preparing for or supporting a FINRA/SEC examination
  • High comfort with ambiguity — this function and its controls are being built from scratch
  • AI-first builder mindset with a track record of automating manual ops work rather than scaling through headcount
  • Background in a high-growth fintech or startup environment

Skills

Required:Broker-dealer operationsSeries licensesRegulatory trade reporting (CAT/CAIS, Rule 605/606)Best execution program designAudit-trail / document versioningRegulatory liaisonAI/automation in ops

Benefits

  • Competitive salary and equity package
  • Generous relocation package to NYC office
  • Unlimited PTO + paid company holidays
  • Holistic medical, dental, and vision plans
  • Company 401(k) with Mega backdoor Roth options, Commuter, and HSA/FSA plans
  • NYC office in Union Square
  • Lunch and snacks in office, dinner if staying late
  • Access to virtual mental health care (Spring Health) and health concierge (Rightway)
  • Counseling for stress management, dependent care, nutrition, fitness, legal, and financial issues (Guardian WorkLifeMatters EAP)
Last updated Oct 21, 2026. Interested? Apply on the company site.

About Savvy Wealth

Experience Wealth Management, Redefined.

Savvy combines technology with real-world financial expertise to offer you more freedom and peace of mind.

wealth managementfinancial adviceinvestment managementretirement planningestate planningtax strategy
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