New York Licensed Operations Principal

Job Summary

To support a growing brokerage, the full-time remote Principal Operations Officer will manage day-to-day operations, including trade settlement, account onboarding, and operational controls while collaborating with various teams to enhance operational efficiency.

Key Responsibilities

• Own the end-to-end operational lifecycle for Atomic Brokerage, including clearance and settlement, corporate actions processing, and daily reconciliations
• Serve as a designated supervisory principal, maintaining and defending supervisory procedures during FINRA and SEC examinations
• Collaborate with engineering and compliance teams to identify automation opportunities and ensure regulatory filings and exam readiness

Required Qualifications

• Active Series 27 and Series 24 licenses
• 5+ years of progressive experience in broker-dealer operations, including leadership of an operations team
• Direct experience with clearance and settlement processes at a self-clearing or correspondent clearing firm
• Working knowledge of net capital, customer protection regulations, and FOCUS reporting
• Ability to write and maintain supervisory procedures for operations functions