Strategy & Operations Manager - Brokerage

About Savvy Wealth:

Wealth management is a $545 billion industry that still runs on manual work. 75% of advisors offer no digital communication beyond email, and most still build financial plans by hand in Excel. Savvy is reinventing what it looks like to be a financial advisor. Founder Ritik Malhotra saw the fragmentation firsthand after seeking out his own advisor, and started Savvy to give independent advisors a modern, AI-native home.

Savvy is a registered investment advisor (RIA), and we partner with experienced financial advisors who want to grow without running the back office themselves. Advisors bring their book and join Savvy, running under their own brand (or ours), and Savvy earns a percentage of the assets they manage. In return, they get a true business-in-a-box: a proprietary tech platform and client portal, an in-house marketing team that helps them grow, a world-class investment management team, and a dedicated client services team that runs day-to-day operations and support. Advisors at Savvy service up to 50% more households and save 19 hours a week.

AI runs through everything we do. On the product side, Savvy Intelligence (released April 2026) is the only AI built for wealth managers that can see a client's complete financial picture. Internally, everyone at Savvy uses Claude and is encouraged to experiment with it, backed by a dedicated AI enablement team and a RevOps org building agents in-house.

The trajectory is steep and it's still early. We're a Series C company with 170+ people, $200M raised, and $100M ARR in sight this year. Inc. ranked us the No. 1 fastest-growing financial services company in America in 2026. Come build the next stage with us!

Recognition:

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 Role:

The Strategy & Operations Manager - Brokerage 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.

Responsibilities:

Brokerage Operations

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

Account & Cashiering Operations

• 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

Legal & Compliance Operations

• 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

Must Have:

• 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

Nice to Have:

• 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

• SIE, Series 4, 53

Benefits:

• Competitive salary and equity package

• We offer a generous relocation package to help top talent make the move to our NYC office

• 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)