Senior Manager, Operations Control
9.0/10
Alpaca
$112,000 – $188,000 USD
Remote
senior
about 2 months ago
cryptofintechoperationsFINRASECGRC toolingAI-enabled review processes
AI Summary
The vacancy is well-detailed with clear responsibilities and compensation, but could improve on operational detail and company links.
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Description
What you'll do
- •Design, implement, and maintain the Ops Control framework across back-office operations.
- •Oversee ICOC review design, testing, and documentation.
- •Independently verify and resolve operational issues within defined timeframes.
- •Maintain a centralized controls inventory and monitoring hub.
- •Conduct thematic reviews to identify systemic control weaknesses.
- •Lead Ops Control exam preparedness for audits and examinations.
- •Partner with Product and Engineering to incorporate operational control considerations.
- •Drive automation and use of advanced tooling to improve control effectiveness.
Conditions
- •Competitive Salary & Stock Options
- •Health Benefits
- •New Hire Home-Office Setup: One-time USD $500
- •Monthly Stipend: USD $150 per month via a Brex Card
Requirements
- •7+ years of experience in clearing broker-dealer back-office operations or related control functions.
- •Leadership experience in Ops Control, Clearing Operations, or Financial Control.
- •Hands-on knowledge of SEA Rules 15c3-1 and 15c3-3, margin and rehypothecation rules, FINRA Uniform Practice Code.
- •Proven ability to identify, test, and challenge operational controls.
- •Experience supporting FINRA and SEC examinations.
- •Clear communicator able to summarize findings for stakeholders.
- •Comfortable operating independently in a fast-paced environment.
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