Brokerage Operations Manager
About The Position
Savvy Wealth is a registered investment advisor (RIA) that partners with experienced financial advisors, providing them with a modern, AI-native platform to grow their businesses without managing the back office themselves. Advisors join Savvy, run under their own brand (or ours), and Savvy earns a percentage of the assets they manage. In return, they receive a comprehensive business solution including a proprietary tech platform and client portal, an in-house marketing team, a world-class investment management team, and a dedicated client services team for day-to-day operations and support. Savvy emphasizes AI in all aspects of its operations, from its AI-native product, Savvy Intelligence, to internal use of AI tools like Claude, supported by an AI enablement team and an in-house RevOps organization building agents. The company is in a Series C stage, with over 170 employees, $200 million in funding, and aiming for $100 million ARR this year. It has been recognized as the No. 1 fastest-growing financial services company in America by Inc. and holds certifications such as Certified Great Place to Work, Newsweek's America's Greatest Startup Workplaces, and Fortune Best Workplaces in New York.
Requirements
- 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 Haves
- 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
Responsibilities
- 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
- 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
- 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
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)
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
