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The Role:
- Reporting to the Head of Brokerage Operations, you will own the day-to-day operations behind the broker-dealer's books and records.
- This role is equal parts hands-on operator and strategic builder, helping design controls and automation as we scale self-clearing infrastructure.
Key Responsibilities:
- Oversee clearance and settlement, corporate actions processing, account onboarding, and daily reconciliations.
- Serve as a supervisory principal, maintaining and defending supervisory procedures in FINRA and SEC exams.
- Collaborate with engineering, FinOp, compliance, and legal on regulatory filings, exam readiness, and control design.
What We're Looking For:
- Active Series 27, 24, and 63 licenses with 5+ years of progressive broker-dealer operations experience.
- Direct experience with NSCC and DTC processes, corporate actions, and books-and-records reconciliations.
- Working knowledge of net capital, customer protection (15c3-3), and FOCUS reporting, plus comfort building processes in a fast-moving startup.
AtomicVest
We build critical financial infrastructure that allows consumer-facing companies to offer engaging investing experiences, from ESG investing to treasury bills and equities. We have raised $55M and are a fast-growing, mission-driven team of financial empowerment enthusiasts from tech, banking, finance, and law.