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MDB Capital

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Vice President, Brokerage Operations

OperationsOperationsFull TimeRemoteLeadTeam 51-200Since 1997Company SiteLinkedIn

Location

Texas

Posted

1 day ago

Salary

Not specified

Seniority

Lead

Bachelor Degree10 yrs expEnglishRPA

Job Description

• Oversee end-to-end operational integrity of the broker-dealer platform. • Manage daily trade matching, clearance, and settlement activities across equities, fixed income, options, and other supported products. • Ensure accurate books and records in accordance with SEC Rule 17a-3 and 17a-4 requirements. • Lead regulatory exam preparedness and remediation efforts for FINRA and SEC examinations.

Job Requirements

  • 10+ years of broker-dealer operations experience, including clearing and settlement leadership.
  • Strong knowledge of FINRA and SEC regulatory frameworks.
  • Experience implementing automation, RPA, or AI tools within operational environments.
  • Series 7, 24 (preferred), and other applicable registrations.

Benefits

  • Flexible work arrangements
  • Professional development opportunities

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