SR. DIRECTOR, BROKERAGE SERVICES AND AI AUTOMATION

Tradestation Group

81d • $250,000 • Remote

About The Position

As the Senior Director of Brokerage Services and AI Automation, you will be the strategic and operational leader responsible for transforming TradeStation's digital brokerage workflows. This role requires deep, practical knowledge of the end-to-end brokerage process—covering digital onboarding and account funding, trade execution and order routing, clearing and settlements, margin management, corporate actions, client servicing, regulatory compliance (FINRA/SEC), and reporting—while designing and deploying AI- and automation-driven solutions that improve efficiency, control effectiveness, and client experience across a modern broker-dealer platform. This role does require deep, hands-on brokerage domain expertise across digital onboarding, account funding, trade execution and order routing, clearing and settlements, margin calls, corporate actions, and client communications in an online broker-dealer environment. Proven AI/automation leadership applying RPA, NLP, ML, and LLM capabilities to real brokerage use cases such as fraud detection, trade surveillance, intelligent servicing, and personalized insights.

Requirements

• 10 years of experience in financial services or brokerage operations, with 5+ years in senior leadership roles focused on AI, automation, or digital transformation.
• Track record implementing AI/ML and automation (RPA) solutions within trading, brokerage, or wealth contexts, delivering production-grade impact on operations and controls.
• Deep understanding of broker-dealer workflows, trading platforms, client servicing models, and regulatory environments (FINRA/SEC).
• Technical expertise in AI/ML development (Python, TensorFlow, Scikit-learn, LLM APIs), automation tools (UiPath, Blue Prism, Automation Anywhere), and cloud platforms (AWS, Azure, GCP).
• Cross-functional leadership with strong collaboration, communication, and stakeholder management across Product, Technology, Compliance, Risk, Data Science, and Client Services.
• Regulatory and audit support experience (e.g., JSOX, 3120 testing) and integration of operational risk frameworks into automated workflows.

Nice To Haves

• Familiarity with LLMs, prompt engineering, AI governance, real-time data processing, margin systems, and vendor management in brokerage contexts.
• Advanced degree in Computer Science, Finance, Data Science, or related field preferred.

Responsibilities

• Create practical process excellence identifying workflow bottlenecks, control gaps, and automation opportunities across front-, middle-, and back-office brokerage operations.
• Create and ensure strong regulatory alignment with FINRA/SEC requirements, audit readiness (e.g., model transparency, data governance), and operational risk frameworks embedded in automated workflows.
• Create outcome orientation with measurable improvements in speed, accuracy, cost efficiency, and client satisfaction across the brokerage lifecycle.
• Develop and execute an automation strategy across core brokerage functions (trade processing, margin management, account maintenance, and client communications) aligned to business growth, retention, and regulatory readiness.
• Analyze and map the full client lifecycle (onboarding, funding, execution, routing, clearing, settlements, margin, corporate actions, communications) to prioritize automation opportunities and control enhancements.
• Design and deploy AI-driven tools for fraud detection, trade surveillance, chatbot support, and personalized client insights, overseeing RPA, NLP, and ML models to automate repetitive tasks and improve decision-making.
• Partner cross-functionally with Product, Technology, Compliance, Risk, Data Science, and Client Services to tightly integrate automation solutions with brokerage workflows and supervisory controls; manage vendor evaluations for third-party AI platforms.
• Ensure regulatory alignment with FINRA, SEC, and related bodies; support audit readiness, model transparency, and data governance with robust documentation and testing frameworks.
• Drive operational excellence with measurable improvements in speed, accuracy, cost efficiency, and client satisfaction; communicate strategy, progress, and outcomes to senior executives, board members, regulators, and stakeholders.
• Build and mentor a high-performing team of automation engineers, AI specialists, and business analysts focused on brokerage transformation, fostering innovation and continuous improvement.
• Optimize client experience using AI to personalize journeys, reduce friction in digital onboarding, and improve service responsiveness across digital channels.

Benefits

• Collaborative work environment.
• Competitive Salaries.
• Yearly bonus.
• Comprehensive benefits for you and your family starting Day 1.
• Unlimited Paid Time Off.
• Flexible working environment.
• TradeStation Account employee benefits, as well as full access to trading education materials.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Master's degree