Director, Broker-dealer Operations

Betterment

New York City, NY, US
Base: $173,000 - $189,000; bonus/equity: competiti...
On-site (4 days a week in-office)
Broker-dealer operations experience
Corporate action processing knowledge
Finra series 7, 24, or 27 license
Betterment is seeking a Director of Broker-Dealer Operations to lead their operations team, overseeing compliance, financial reporting, and product development in a technology-driven financial services environment. The ideal candidate will have significant experience in financial services operations, particularly with broker-dealer compliance and management

Job Summary

  • The role involves leading the broker-dealer operations team to safeguard over $65B in assets for more than one million customers.
  • Candidates must possess strong knowledge of securities products including corporate actions, margin, and transfers while ensuring FINRA and SEC compliance.
  • The position offers a competitive salary range of $173,000 to $189,000 along with equity, comprehensive health benefits, and flexible PTO.

Matching Summary

Match Score: 85

Betterment is seeking a Director of Broker-Dealer Operations to lead their operations team, overseeing compliance, financial reporting, and product development in a technology-driven financial services environment. The ideal candidate will have significant experience in financial services operations, particularly with broker-dealer compliance and management.

Salary

Base: $173,000 - $189,000; Bonus/Equity: Competitive equity package and variable compensation eligible; Benefits: Health, dental, vision, 401(k) match, and flexible PTO

Skills & Requirements

Must-have

  • Broker-dealer operations experience
  • Corporate action processing knowledge
  • FINRA Series 7, 24, or 27 license
  • 5+ years management experience
  • Regulatory compliance expertise

Nice-to-have

  • FinTech industry background
  • Experience with auditors and regulators
  • Product development collaboration skills
  • Strong communication abilities

Key Requirements

  • 5+ years of management experience
  • FINRA Series 7, 24, or 27 certification
  • Experience in financial service operations
  • Track record of launching new products

Work Rights

Not specified

Tailored Resume

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