M1 Finance has created a personal wealth-building platform made for the modern era, uniting personal perspective and automated ease. We seamlessly combine free investing and low cost borrowing all in one intuitive, automated Finance Super App, and we’re driven by a mission to empower personal financial well-being.Salary range - $140,000 - $160,000Lead and develop a team, providing coaching, prioritization, and performance managementOwn the supervision of daily brokerage operations workflows including: cash, position, and trading reconciliations across firm and client accounts; ACATS and non-ACATS transfer processing end-to-end, including exception resolution and escalation; margin operations including margin calls, Reg T compliance, and portfolio margin monitoring; account maintenance workflows including new account review, ongoing maintenance, and user account activity monitoring; tax reporting operations including 1099 preparation, cost basis reporting, and wash sale adjustmentsPartner with Legal, Compliance, Product, and Engineering to establish, monitor, and manage key risk indicators across all operational functionsIdentify and lead automation and process improvement initiatives to scale operational capacityDevelop and maintain written procedures, controls documentation, and risk frameworks for middle office functionsSupport regulatory examinations, audits, and ad hoc reporting requests7–10 years of brokerage or securities operations experience, with at least 3–5 years managing teams of 5 or moreSelf-clearing experience required; direct familiarity with DTC, NSCC, and clearing infrastructure strongly preferredHands-on experience across trading operations, margin, ACATS/transfers, account maintenance, and tax reportingDeep understanding of the full trade lifecycle and settlement mechanics for equities, ETFs, and other instrumentsStrong working knowledge of FINRA and SEC regulatory requirements applicable to broker dealer operationsSeries 7 and 24 required; Series 57 a plusAdvanced proficiency in Excel; intermediate SQL skills preferredProven experience leveraging AI tools and automation to drive operational efficiency and scale team outputExcellent written and verbal communication skills; ability to work cross-functionally with compliance, finance, product, and technology teamsExperience at a self-clearing fintech or technology-driven broker dealer strongly preferredCompetitive Pay and Stock OptionsComprehensive health, dental, vision, disability, and life insuranceRetirement benefit with employer matchTransparent and open communication with leadership
5 days ago