Brokerage Operations Manager

About Savvy Savvy Wealth is the trusted partner for independent financial advisors, combining infrastructure, service, and intelligent tools to make great advice easier to deliver. Disclosure: Savvy Wealth, Inc. is a tech company and the parent company of Savvy Advisors, Inc. All advisory services are offered through Savvy Advisors, Inc., an investment advisor registered with the Securities and Exchange Commission (“SEC”). The AI used on Savvy Wealth’s advisor platform is not intended to replace human advice. The AI technology efficiently automates and streamlines processes like new account onboarding, ongoing financial planning and personalized communications across multiple marketing channels. The AI is not intended to interact with retail clients of Savvy Advisors, nor does the AI provide client-facing investment advice or investment decisions.

Savvy

Technology-enabled RIA and wealth management platform.

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S

savvywealth.com

51-200 employees

Financial Services

New York, New York

2021

Privately Held

12k LinkedIn followers

Raised $105.8M

• We're a Certified Great Place to Work and have been honored for our culture and our growth
• Newsweek's America's Greatest Startup Workplaces (2026)
• Fortune Best Workplaces in New York™ (2026)
• Great Place to Work Certified™
• The Brokerage Operations Manager will own day-to-day operations for Savvy's broker-dealer, ensuring seamless execution, reconciliation, and regulatory compliance. This role sits at the center of all operational workflows from trade setup through settlement, and is responsible for maintaining operational excellence as Savvy scales trade volume. You'll work closely with Investment Operations, Legal & Compliance, and third-party vendors team to ensure best execution and build scalable processes. This role requires strong attention to detail, process orientation, comfort leveraging AI tools to improve efficiency and accuracy, and the ability to manage multiple workflows simultaneously in a fast-paced startup environment.
• As Savvy launches its broker-dealer, this role will be responsible for building and owning the following functions end-to-end
• Build and run the end-to-end operational workflow across the brokerage lifecycle, resolving issues as they arise
• Establish a process for monitoring post-trade activity and resolving issues before they become bigger problems
• Create the workflow for investigating and correcting errors, and keeping records reconciled and accurate
• Build the framework for managing corporate action communications
• Establish quality-control review processes and documentation to ensure we're meeting our obligations
• Build the workflow for supporting regulatory reporting requirements across product types
• Identify opportunities to deploy AI tools and agentic workflows to automate reconciliation, exception detection, and error-resolution processes
• Design and run the workflow for reviewing, approving, and processing client money movement requests, including domestic and international transfers
• Build and maintain monitoring processes to flag anomalous account activity and ensure timely escalation
• Establish a repeatable process for managing deposits end-to-end, from receipt to posting
• Create and refine the process for triaging and resolving new account setup exceptions
• Build the framework for maintaining and updating account restrictions, ensuring accuracy across systems
• Leverage AI and automation to streamline approval workflows and flag anomalies faster and more accurately
• Support the Legal & Compliance team with FINRA and audit requests
• Prepare client complaint and resolution reports
• Explore AI-driven tools and agentic workflows to reduce manual effort in reporting and audit preparation

Required

• 3-5 years of total experience across investment banking, consulting, or fintech startups
• High attention to detail and comfort operating with real ambiguity — this function is being built from scratch
• Strong process orientation: able to build SOPs and controls where none exist today
• Comfortable partnering across Investment Operations, Compliance/Legal, and Product/Engineering
• Comfort using AI/automation tools to reduce manual reconciliation and exception-detection work
• Experience at a high-growth fintech or startup, or building an operations function from the ground up

Preferred

• Prior experience at an introducing broker-dealer or clearing firm (e.g., Fidelity NFS, Pershing, Apex)
• Familiarity with cashiering operations: money movement approvals, wire approvals, AML alert monitoring
• Working knowledge of the trade lifecycle
• Understanding of FINRA/SEC compliance reporting requirements

• Competitive salary and equity package
• Unlimited PTO + paid company holidays
• Access to holistic medical, dental, and vision plans
• Company 401(k) (including Mega backdoor Roth options), Commuter, and HSA/FSA plans
• NYC office in Union Square
• Lunch and snacks provided in the office, & dinner if you stay late
• Access to virtual mental health care (Spring Health) and health concierge (Rightway) to help you find the right care
• Access to counseling for stress management, dependent care, nutrition, fitness, legal, and financial issues (Guardian WorkLifeMatters EAP)