Broker-Dealer Operations & Compliance Lead
brexMillbrae, CA
Broker-Dealer Operations & Compliance Lead
L7
brexMillbrae, CAyesterday
Industries
Investment Banking and Securities IntermediationMiscellaneous IntermediationFinancial Transactions Processing, Reserve, and Clearinghouse ActivitiesBrex is seeking a Manager of Broker-Dealer Operations to ensure accurate and compliant daily trading activities, while defining a control environment and auditable processes. You will lead incident response playbooks, close regulatory findings, and work with Compliance, Legal, Product, and Engineering to scale controls for new workflows and product changes.
The role emphasizes strong judgment, risk assessment, and documentation quality in a regulated fintech setting, with a focus on process
Apply now
Level
ManagerL7
Location
Millbrae, CA
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
yesterday
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