Manager, Broker Dealer Operations

Brex•Seattle, WA

15h•Hybrid

About The Position

Brex is seeking a Manager of Broker-Dealer Operations to ensure the execution and compliance of daily trading activities. This role involves defining the control environment for trading, strengthening judgment and documentation standards, and building operating rhythms for a high-stakes monitoring function. The Operations team at Brex is responsible for credit, fraud, money movement, and payments, operating at the intersection of product, design, engineering, and customer success to power businesses through an Intelligent Finance Platform.

Requirements

5+ years of experience in US banking operations, securities trading, or a related function within a bank, fintech, or other regulated financial services environment.
Series 7, 63, and 24
Experience with regulated high-risk money movement workflows.
Strong judgment, including the ability to assess risk, make sound escalation decisions, and maintain clear, audit-ready documentation.
Experience partnering cross-functionally with teams such as Compliance, Legal, Product, Engineering, Treasury, Finance, or external partners to resolve issues and improve processes.
Experience leading through audits, incidents, regulatory exams, or high-severity operational escalations.
Familiarity with AML, sanctions, fraud, or transaction monitoring programs in a regulated financial environment.
Clear written and verbal communication skills, with the ability to turn operational complexity into concise guidance, actionable feedback, and leadership-ready updates.

Nice To Haves

Experience managing an escheatment program
Experience supporting money market trading and settlement workflows.
Comfort querying databases (e.g., SQL) and/or AI utilizing data tools to identify trends, improve decision-making, or automate manual work.
Experience deploying AI into operational workflows with strong judgment on how to deploy AI effectively in a control heavy environment.
Exposure to working with external banking partners, vendors, or fintech infrastructure providers to improve operational workflows and controls.

Responsibilities

Ensure all trading activities at Brex are performed accurately and in a compliant manner.
Create and maintain documented processes that are auditable by various external stakeholders and regulators.
Build a control framework that provides extremely high confidence in the validity, accuracy, and completeness of all required trading activity.
Build and maintain an incident response, investigation, and remediation playbook to ensure we are prepared to respond quickly and thoroughly to any identified anomalies or errors.
Drive any future audit or regulatory findings to resolution in a timely manner.
Manage escheatment processes and oversight ensuring accuracy, completeness, and compliance.
Work with our Compliance function to ensure any marketing of investment options is compliant with regulation.
Partner closely with Compliance, Legal, Product, Engineering, and external banking partners to strengthen controls, resolve issues quickly, and support operational readiness for new workflows and product changes.