Brokerage Operations Manager
Confirmed on the employer's own hiring board on Nov 2, 2026. First seen by Alion on Oct 28, 2026.
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.