Principal Operations Officer

This is a fully remote position, open to applicants in United States.

📋 Description

• Act as the designated operations principal for Atomic Brokerage.

• Report directly to the Head of Brokerage Operations.

• Oversee the complete operational lifecycle for Atomic Brokerage, which includes clearance and settlement, processing of corporate actions, account onboarding and maintenance, along with daily reconciliations of books and records.

• Function as a designated supervisory principal for operations activities.

• Draft, uphold, and defend supervisory procedures during FINRA and SEC examinations.

• Assist with FOCUS reporting and ensure net capital compliance by keeping operational data accurate and reconciling all accounts promptly.

• Collaborate with engineering to pinpoint automation opportunities in reconciliations, exception queues, workflows for corporate actions, and regulatory reporting.

• Work alongside FinOp, compliance, and legal teams on regulatory submissions, exam preparedness, and control design.

• Develop processes, procedures, and controls as the self-clearing infrastructure expands.

⛳️ Requirements

• Must reside in the United States; candidates from the New York metro or San Francisco Bay Area are preferred.

• Possession of active Series 27 and Series 24 licenses is mandatory.

• An active Series 63 license is required.

• A minimum of 5 years of progressive experience in broker-dealer operations, including leadership roles within an operations team.

• Direct experience with clearance and settlement, as well as familiarity with NSCC and DTC processes, in either a self-clearing or correspondent clearing firm.

• Proven experience in managing corporate actions and daily reconciliations of books and records.

• Working knowledge of net capital regulations, customer protection (15c3-3), and FOCUS reporting.

• Capability to write and maintain supervisory procedures for operations functions and defend them during a FINRA or SEC examination.

• Comfort in establishing processes while the business continues to evolve.

• Experience with InteliClear or a similar clearing and books-and-records platform is preferred.

• Familiarity with securities lending, repo, options, or margin operations is advantageous.

• Previous experience collaborating with engineering teams to automate reconciliations, exception queues, and regulatory reporting is preferred.

• Additional licenses, such as Series 4, 57, 79, or 6, are considered a bonus.

🏝️ Benefits

• Remote-first work environment.

• Chance to make a significant impact at a rapidly growing, mission-oriented company.

• Engage in financial infrastructure that supports investing experiences and wealth creation.

• Opportunity to influence operational design, controls, processes, procedures, and the automation roadmap.