Brokerage Operations Manager

Location: Remote, United States

Employment Type: Full-time

Department: Brokerage Operations

Compensation: $125,000 to $155,000 base salary

About the Role

Aries is hiring a Brokerage Operations Manager to lead and improve our brokerage operations. We are an independent broker-dealer that clears through Apex Clearing. We want someone with strong brokerage operations experience who’s eager to build something better, not just maintain what’s already in place.

You’ll oversee our operations team, handle daily controls, reconciliations, and exception management, and work as a registered principal. You’ll also manage our daily relationship with Apex and make sure issues get resolved quickly.

This job means working closely with Compliance, Risk, Trading, Product, Engineering, our advisors, and our clearing and tech partners. You’ll need to dig into problems, figure out what’s wrong, and get things fixed for the long term.

Key Responsibilities

• Lead, hire, and coach the operations team, set clear standards, and keep everyone accountable

• Serve as the registered principal over operations and maintain updated Written Supervisory Procedures

• Oversee daily reconciliations, operational controls, and exception reviews

• Act as the main contact for Apex Clearing, making sure breaks, rejects, and service issues are resolved

• Investigate and clear position, cash, trade, settlement, margin, and buying power breaks

• Manage equities and listed options across the trade lifecycle, including exercises, assignments, and corrections

• Oversee money movement, ACATS, new accounts, and account maintenance

• Stay ahead of margin calls, corporate actions, and other operational exceptions

• Find recurring problems and put permanent fixes in place instead of relying on workarounds

• Work with Product and Engineering to automate manual tasks and improve dashboards and exception monitoring

• Help Compliance with FINRA and SEC exams, inquiries, and regulatory reporting

• Support advisor onboarding and book transitions as we grow

Who We’re Looking For

• 5+ years’ experience in brokerage, clearing, or broker-dealer operations

• 2+ years in a people management or operations lead role

• FINRA Series 24, or willingness to obtain within 90 days of hire. Series 7 and SIE are required

• Experience with a fully disclosed clearing firm, ideally Apex

• Strong grasp of the U.S. securities trade lifecycle, cashiering, ACATS, margin, and corporate actions

• Solid experience with equities and listed options

• Comfortable working through position, cash, trade, settlement, or reconciliation breaks

• Good with Excel or Google Sheets and handling large data sets across several systems

• Strong sense of urgency and follow-through on getting issues fixed

• Problem solver who wants to improve processes, not just work around problems

• Able to provide coverage during U.S. market hours

Bonus Points For:

• Series 4, Options Principal, or Series 9/10

• Experience at an IBD or fintech broker-dealer

• SQL skills

• Experience with APIs, SFTP, CSV, JSON, FIX, or similar financial data formats

• Building or automating reconciliations, dashboards, or exception monitoring

• Familiarity with CAT/CAIS, Rule 605/606, or similar broker-dealer regulatory reporting

Series 24 is required due to the supervisory aspect of this role. Beyond licensing, practical experience and a get-it-done attitude matter most.

Reporting Structure

This role reports to the Head of Brokerage and will have direct reports. You’ll own brokerage operations end-to-end and be the final escalation point for operational issues. As Aries grows, there will be chances to take on more controls, automation, and team leadership.

Pay & Benefits

Salary for this position is $115,000 to $140,000 USD per year, depending on experience, qualifications, licensing, and location. Bonus, health, and PTO details available. Aries pays for licensing and continuing education.

Why Work With Us?

Aries sits at the crossroads of financial markets and technology. Many brokerage challenges can’t be fixed by just following procedures—they require a deep understanding of trade flows, careful data analysis, and the motivation to build better systems so issues don’t keep coming back.

If you want to lead, build, and make a real impact, we want to hear from you.