Senior Brokerage Operations Manager

Savvy Wealth•New York, NY

2d•$160,000 - $180,000•Onsite

About The Position

Savvy Wealth is a rapidly growing wealth management firm that is reinventing the industry with an AI-native approach. They partner with independent financial advisors, providing a comprehensive business-in-a-box solution that includes a proprietary tech platform, client portal, marketing support, investment management, and client services. Savvy is a Series B company with significant year-over-year growth, backed by prominent investors. They are recognized as a Great Place to Work and have received awards for their culture and growth. The company is focused on leveraging AI across all aspects of its operations, from product development to internal processes.

Requirements

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, 64 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

Nice To Haves

Additional licensing (Series 4, 53, 54, 9/10 or 99)
Experience owning a clearing firm relationship (e.g., Fidelity NFS)

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
Serve as CCO's primary operations counterpart on broker-dealer regulatory matters
Resolve open licensing and supervisory-control ambiguities (e.g., manual vs. API-based account entry, principal pre-approval parameters) into documented, auditable policy
Own FINRA examination readiness: supervisory review documentation, WSP maintenance, and audit-trail/document-versioning infrastructure
Personally own escalation and disclosure decisions on regulatory-adjacent issues — late reviews, trade breaks above threshold, unusual trading patterns
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

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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