About the Role
You will lead the Front Office brokerage operations function with direct responsibility for regulatory workflows and supervising registered personnel. You will manage a team across quality management, complaints handling, service, and process engineering. You will oversee AI generated brokerage communications to ensure regulatory compliance and review of automated content before it reaches customers. You will drive process improvements and risk management through data driven decision making.
Requirements
- FINRA Licenses Series 7 63 and Series 24 active and in good standing
- 5+ years of experience in brokerage operations or financial services
- 3+ years of direct people leadership experience in a regulated financial environment
- Strong understanding of FINRA supervisory requirements including Rule 3110 and Rules 4513 4530 Rule 4511 and SEC frameworks
- Experience managing regulatory complaint programs including identification classification escalation and reporting of FINRA reportable complaints
- Demonstrated ability to balance compliance rigor with customer experience
- Strong analytical skills with proficiency in data driven decision making
- Experience overseeing BPO or outsourced operations in a regulated environment
- Experience with AI ML assisted operations
- Background in process engineering or operational transformation
- Experience with workforce management systems and capacity planning
- Proficiency with CRM platforms Salesforce Jira Asana and collaboration tools
- BA/BS degree or equivalent professional experience
Responsibilities
- Serve as the designated Series 24 supervisory principal under FINRA Rule 3110, providing people and process supervision for all registered Front Office personnel
- Own supervisory governance of the FINRA complaints program (Rules 4513 / 4530) by ensuring timely identification classification and reporting of FINRA reportable complaints including monthly regulatory reporting to Global Complaints
- Provide Series 24 sign off authority for the Books & Records FINRA Attestation (Rule 4511 / SEC Rule 17a-4) ensuring all required records are maintained accessible and audit ready
- Oversee AI generated brokerage communications to satisfy FINRA's human in the loop supervisory requirement reviewing and approving LLM generated customer facing content before it reaches customers
- Maintain supervisory authority over remediation and target resolve protocols validating data loads customer communications and regulatory disclosures for account adjustments and error corrections
- Ensure regulatory communications and disclosures meet FINRA guidelines across all customer facing touchpoints including product migrations new product launches and disclosure library updates in coordination with Legal Counsel
- Supervise high exposure Tier 2 escalation workflows Account Takeovers ATOS identity theft investigations deceased account settlements and Power of Attorney validations
- Directly manage a team of specialized individual contributors across quality management complaints service and process engineering functions
- Conduct regular 1:1s performance reviews and development planning tailored to the diverse expertise levels on the team
- Coach and develop team members toward advanced certifications Series 24 and expanded strategic roles
- Foster psychological safety and team resilience in a high stakes emotionally demanding compliance environment
- Build and maintain a high trust high performance culture aligned with Block's builder mentality and Cash App's mission of economic empowerment
- Monitor and optimize queue health SLAs and service levels across brokerage front office operations
- Oversee BPO partner performance ensuring outsourced brokerage operations partners meet quality and regulatory standards
- Own workforce management coordination for the Front Office including staffing capacity planning scheduling and overtime governance
- Drive process engineering and operational improvements in workflow documentation and playbook development
- Prioritize and oversee large scale operational projects with regulatory impact including account migrations new product launches and system integrations
- Generate analyze and present performance metrics and reporting to senior leadership
- Champion the adoption and governance of AI and automation tools within the brokerage operations environment
- Partner with Compliance Product and Risk teams to define QA thresholds and supervisory frameworks for AI generated customer interactions
- Support the team's transition to an intelligence driven operating model
Benefits
- Remote work
- Medical insurance
- Flexible time off
- Retirement savings plans
- Modern family planning