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About the Role

Savvy is seeking a Sr. Brokerage Operations Manager to build and lead the trading desk operation end-to-end. This senior, high-visibility role involves serving as the licensed principal of record for trading activity, designing and running the best execution program, and driving AI/automation opportunities. You will be the primary operations counterpart to the General Counsel/CCO, operating as a peer to Legal/Compliance and Business Operations.

Responsibilities

Build and own Savvy's trading desk operation end-to-end, including trade lifecycle, execution quality, and best execution review.
Serve as the licensed principal (Series 7/24) of record for trading activity, holding personal sign-off authority on trades, account actions, and exceptions.
Design and run Savvy's best execution program, holding execution venues accountable to quality standards.
Own CAT/CAIS and Rule 605/606 regulatory trade reporting.
Drive AI/automation opportunities across the trading desk and back office to reduce manual reconciliation, exception detection, and compliance documentation.
Serve as CCO's primary operations counterpart on broker-dealer regulatory matters.
Resolve licensing and supervisory-control ambiguities into documented, auditable policy.
Own FINRA examination readiness, including supervisory review documentation, WSP maintenance, and audit-trail/document-versioning infrastructure.
Own escalation and disclosure decisions on regulatory-adjacent issues.
Own the strategic design of account and cashiering operations, including money movement approvals, wire approvals, AML alert escalation, and account restriction management.
Partner with Legal & Compliance on FINRA/audit requests, complaint reporting, and escheatment tracking.
Own the Fidelity relationship and vendor management for broker-dealer operations.

Requirements

6-8+ years of broker-dealer operations experience, including having personally built a brokerage/trading operations function from scratch.
Series 7, 64 and 24 licenses.
Deep knowledge of the trade lifecycle, best execution, and regulatory trade reporting (CAT/CAIS, Rule 605/606).
Comfortable operating as a senior peer to Legal/Compliance and company leadership.
Experience preparing for or supporting a FINRA/SEC examination.
High comfort with ambiguity.
AI-first builder mindset with a track record of automating manual ops work.
Background in a high-growth fintech or startup environment.
Experience building document versioning or audit-trail infrastructure.

Skills

Broker-dealer operations
Trading desk operations
Trade lifecycle management
Best execution
Regulatory trade reporting
CAT/CAIS
Rule 605/606
AI/automation
FINRA examination readiness
Supervisory review
WSP maintenance
Audit-trail infrastructure
Document versioning
Account operations
Cashiering operations
Money movement approvals
Wire approvals
AML alert escalation
Account restriction management
Vendor management
Fidelity relationship management

Location

Work Type

Onsite

Experience Level

Senior

Benefits

Competitive salary and equity package
Unlimited PTO + paid company holidays
Holistic medical, dental, and vision plans
Company 401(k), Commuter, and HSA/FSA plans
Lunch and snacks provided in the office
Access to virtual mental health care (Spring Health)
Health concierge (Rightway)
Access to counseling for stress management, dependent care, nutrition, fitness, legal, and financial issues (Guardian WorkLifeMatters EAP)

About the Company

Savvy Wealth is reinventing wealth management with a modern, AI-native platform for independent financial advisors.
Savvy partners with experienced financial advisors, providing a proprietary tech platform, client portal, in-house marketing, investment management, and client services.
The company utilizes AI extensively, with its AI-native platform, Savvy Intelligence, and encourages employee experimentation with AI tools like Claude.
Savvy is a Series B company with approximately 150 employees, experiencing over 500% year-over-year growth, backed by $105M in funding.
Savvy Wealth is a Certified Great Place to Work, recognized for its culture and growth by Newsweek and Fortune.