Senior Brokerage Operations & Controls Analyst

Job description

Aries is looking for a Senior Brokerage Operations & Controls Analyst to help operate and scale our brokerage platform.

This is a senior individual contributor role for someone who understands brokerage operations, enjoys solving complex problems, and wants to help build better systems and processes as the business grows.

You will own daily operational controls, reconciliations, exception management, and brokerage investigations across Aries and our external partners. You will also help design the tools, workflows, dashboards, and controls that allow the operation to scale without relying on manual processes.

You will work closely with Brokerage Operations, Risk, Compliance, Product, Engineering, our clearing firm, OMS providers, and other brokerage partners.

We are looking for someone who can take an issue from "these numbers do not match" through root cause, remediation, and a better long-term solution.

WHAT YOU'LL DO

BROKERAGE OPERATIONS & CONTROLS - Own daily operational controls, reconciliations, and exception reviews. - Investigate discrepancies involving positions, trades, cash, settlement, margin, buying power, and customer account activity. - Resolve trade breaks, settlement issues, rejected activity, corporate action discrepancies, and other operational exceptions. - Track outstanding issues through resolution and maintain clear documentation and escalation paths. - Support complex cash movement, account servicing, restriction, and asset movement issues. - Identify recurring operational problems and help eliminate them through stronger controls or automation.

BUILD TOOLS & PROCESSES - Help design and improve the operational processes used to run the brokerage. - Build or help define dashboards, exception reports, reconciliation tools, and monitoring workflows. - Partner with Product and Engineering to automate manual processes and improve operational visibility. - Translate brokerage requirements into clear technical and operational requirements. - Help define scalable workflows for new products, features, and operational capabilities. - Develop procedures and controls that can scale as trading volume, customers, and product complexity increase.

TRADE LIFECYCLE & PARTNER MANAGEMENT - Investigate equities and listed options activity across the full trade lifecycle, including execution, clearing, settlement, exercise, assignment, and trade corrections. - Work directly with clearing, OMS, execution, and other brokerage partners to investigate and resolve issues. - Independently validate vendor conclusions using underlying data and system records. - Drive vendor issues through resolution and help identify permanent fixes for recurring problems. - Develop a strong understanding of how orders, trades, positions, cash, and regulatory data move across Aries' brokerage infrastructure.

REGULATORY & OPERATIONAL SUPPORT - Support Compliance with brokerage data and operational evidence for regulatory examinations and inquiries. - Assist with investigations involving CAT/CAIS, best execution, Rule 606, books and records, and similar broker-dealer requirements. - Maintain evidence demonstrating completion of required operational controls. - Participate in root cause analysis and corrective action following material operational incidents.

WHAT WE'RE LOOKING FOR - 4+ years of experience in brokerage operations, clearing operations, trading operations, securities operations, or a similar broker-dealer function. - Strong understanding of the U.S. securities trade lifecycle, including execution, clearing, settlement, and account servicing. - Hands-on experience investigating position, cash, trade, settlement, or reconciliation breaks. - Working knowledge of equities and listed options. - Understanding of margin, buying power, settled and unsettled funds, corporate actions, trade corrections, exercises, assignments, and account restrictions. - Strong analytical, reconciliation, and problem-solving skills. - Ability to independently investigate complex issues and clearly explain what happened, why it happened, and how to prevent it from happening again. - Strong Excel or Google Sheets skills. - Comfortable working with large datasets, operational reports, and multiple systems. - Strong written documentation and attention to detail. - Comfortable working directly with external vendors and driving issues through resolution. - Interest in improving processes and building better operational tools, not just working an existing queue. - Ability to provide coverage during U.S. market hours.

NICE TO HAVE - Experience with Apex Clearing or another fully disclosed clearing firm. - Experience with Sterling Trading Technology or another OMS/EMS. - Experience at a fintech or technology-driven broker-dealer. - SQL experience. - Experience working with CSV, JSON, APIs, SFTP, FIX, or similar financial data formats and integrations. - Experience building or automating reconciliations, exception monitoring, dashboards, or operational controls. - Familiarity with CAT, CAIS, Rule 605/606, best execution, or other broker-dealer reporting requirements. - Experience supporting FINRA or SEC examinations. - Series 99, Series 7, or another relevant FINRA registration.

FINRA registrations are valued, but practical brokerage operations experience, technical curiosity, and the ability to solve complex operational problems are more important for this role.

ROLE STRUCTURE

This is a senior individual contributor position and does not initially have direct reports.

The successful candidate will be expected to independently own significant brokerage operational processes while also helping build the systems, controls, and workflows the team will use as Aries grows.

Over time, the role may expand into broader ownership of brokerage controls, automation, operational processes, and team leadership.

COMPENSATION

The base salary range for this position is $110,000 to $140,000 USD annually, depending on experience, qualifications, and location.

This role is also eligible for equity compensation.

WHY ARIES

Aries is building modern financial technology and brokerage infrastructure for active investors and traders.

Our brokerage operation sits at the intersection of financial markets and technology. Many operational challenges require more than following a procedure. They require understanding the trade lifecycle, analyzing data across multiple systems, identifying root causes, and building better processes so the same issue does not happen again.

We are looking for someone who wants to help build the operation, not simply inherit a queue.