Broker Dealer Operations, Senior Associate

Ready to do the most impactful work of your career? At  the company , we are uncompromising on our mission to increase economic freedom. The bar is high, the environment is intense, and we like it that way. This isn't a place for complacency, it’s a place to be pushed past your perceived limits. If you're ready to build the future of finance alongside people who refuse to settle for "good enough," you belong here. The company is a remote-first, but not remote-only company. Expect to get together quarterly for intense in-person working sessions called “surges.”  Learn more about working at the company .

As a Senior Associate, Broker Dealer Operations, you'll join the company Capital Markets (CCM) team and serve as a subject-matter expert within the operational engine supporting the company's U.S. equities brokerage business. This team keeps customer accounts, trades, cash, positions, transfers, corporate actions, and regulatory reporting accurate, controlled, and scalable. You'll independently manage complex operational workflows, strengthen controls, and partner with Apex and internal teams to turn recurring manual work into reliable processes and tooling.

What you'll do

• Own recurring broker-dealer operations workflows across one or more areas, including reconciliations, corporate actions, securities transfers, account maintenance, error processing, and regulatory reporting support.

• Perform daily order, trade, position, balance, and cash reconciliations between the company and Apex records, investigating breaks, documenting root causes, and driving resolution to closure.

• Manage complex exceptions and time-sensitive incidents by coordinating remediation across Apex, Engineering, Product, Trading, CX, Compliance, Finance, Legal, and Risk, prioritizing by customer, financial, and regulatory impact.

• Build and maintain audit-ready documentation, including SOPs, runbooks, control checklists, and process maps, translating operational lessons into durable controls.

• Partner with Product and Engineering to define operational requirements, test new functionality, validate launch readiness, and improve tooling, dashboards, and automation.

• Identify systemic failure modes and lead process-improvement initiatives that reduce manual work, improve detection and recovery speed, and strengthen operational resilience.

Required skills and experience

• 5+ years in financial services operations, broker-dealer operations, clearing and settlement, trade support, or a related operational control function, with direct experience in the U.S. equities trade lifecycle (order processing, settlement, positions, cash movements, corporate actions, securities transfers).

• Proven ability to independently manage complex operational issues across multiple systems, driving investigation, escalation, remediation, and closure without relying on existing runbooks for every scenario.

• Track record of authoring or materially improving SOPs, runbooks, controls documentation, or audit-support materials in a regulated environment.

• Hands-on experience with clearing firm or broker-dealer systems (Apex Clearing, Apex Ascend, or equivalent), plus working proficiency in SQL, Jira, and data-quality or workflow-automation tooling.

• Experience partnering with Engineering and Product to convert operational requirements into tooling, alerts, dashboards, or automated workflows.

• Utilizes generative AI responsibly, maintaining human oversight to deliver business-ready outputs and drive measurable improvements in workflow efficiency, cost, and quality.

Position ID: P78293

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Pay Transparency Notice: Base salary varies by location (see range below). Total compensation may also include equity and bonus eligibility, and benefits (medical, dental, vision, 401(k)).

Annual base salary range (excluding equity and bonus)

$130,900 — $154,000 USD

• Application Limit: Candidates may submit a maximum of 3 applications within a 6-month period.

• Equal Opportunity Employer: the company is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status, or genetic information. Applicants with criminal histories will be considered consistent with applicable federal, state, and local laws.

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• Accommodations: If you are an individual with a disability who needs a reasonable accommodation, email us your request and contact info at accommodations[at]the company. Need screen reading technology? Click here to download a free compatible screen reader and view the tutorial .

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