TradeStation · 1 day ago
Sr. Director, Brokerage Services and AI Automation
Plantation, FL
Full-time
Hybrid
Senior Level, Lead/Staff
10+ years expTradeStation is an online brokerage firm focused on delivering the ultimate trading experience for active traders and institutions. The Senior Director of Brokerage Services and AI Automation will lead the transformation of TradeStation’s digital brokerage workflows, leveraging AI and automation to enhance efficiency and client experience.
Financial Services
Responsibilities
Create practical process excellence identifying workflow bottlenecks, control gaps, and automation opportunities across front-, middle-, and back-office brokerage operations
Create and ensure strong regulatory alignment with FINRA/SEC requirements, audit readiness (e.g., model transparency, data governance), and operational risk frameworks embedded in automated workflows
Create outcome orientation with measurable improvements in speed, accuracy, cost efficiency, and client satisfaction across the brokerage lifecycle
Develop and execute an automation strategy across core brokerage functions (trade processing, margin management, account maintenance, and client communications) aligned to business growth, retention, and regulatory readiness
Analyze and map the full client lifecycle (onboarding, funding, execution, routing, clearing, settlements, margin, corporate actions, communications) to prioritize automation opportunities and control enhancements
Design and deploy AI-driven tools for fraud detection, trade surveillance, chatbot support, and personalized client insights, overseeing RPA, NLP, and ML models to automate repetitive tasks and improve decision-making
Partner cross-functionally with Product, Technology, Compliance, Risk, Data Science, and Client Services to tightly integrate automation solutions with brokerage workflows and supervisory controls; manage vendor evaluations for third‑party AI platforms
Ensure regulatory alignment with FINRA, SEC, and related bodies; support audit readiness, model transparency, and data governance with robust documentation and testing frameworks
Drive operational excellence with measurable improvements in speed, accuracy, cost efficiency, and client satisfaction; communicate strategy, progress, and outcomes to senior executives, board members, regulators, and stakeholders
Build and mentor a high-performing team of automation engineers, AI specialists, and business analysts focused on brokerage transformation, fostering innovation and continuous improvement
Optimize client experience using AI to personalize journeys, reduce friction in digital onboarding, and improve service responsiveness across digital channels
Qualification
Required
Deep, hands-on brokerage domain expertise across digital onboarding, account funding, trade execution and order routing, clearing and settlements, margin calls, corporate actions, and client communications in an online broker-dealer environment
Proven AI/automation leadership applying RPA, NLP, ML, and LLM capabilities to real brokerage use cases such as fraud detection, trade surveillance, intelligent servicing, and personalized insights
Track record implementing AI/ML and automation (RPA) solutions within trading, brokerage, or wealth contexts, delivering production-grade impact on operations and controls
Deep understanding of broker-dealer workflows, trading platforms, client servicing models, and regulatory environments (FINRA/SEC)
Technical expertise in AI/ML development (Python, TensorFlow, Scikit-learn, LLM APIs), automation tools (UiPath, Blue Prism, Automation Anywhere), and cloud platforms (AWS, Azure, GCP)
Cross-functional leadership with strong collaboration, communication, and stakeholder management across Product, Technology, Compliance, Risk, Data Science, and Client Services
Regulatory and audit support experience (e.g., JSOX, 3120 testing) and integration of operational risk frameworks into automated workflows
10 years of experience in financial services or brokerage operations, with 5+ years in senior leadership roles focused on AI, automation, or digital transformation
Preferred
Familiarity with LLMs, prompt engineering, AI governance, real-time data processing, margin systems, and vendor management in brokerage contexts
Benefits
Collaborative work environment
Competitive Salaries
Yearly bonus
Comprehensive benefits for you and your family starting Day 1
Unlimited Paid Time Off
Flexible working environment
TradeStation Account employee benefits, as well as full access to trading education materials
Company
TradeStation
Welcome to the home of those who were born to trade! We empower natural-born traders to hone their strategies with an advanced platform & brokerage services.
501-1000 employees
Funding
Current Stage
Late StageLeadership Team
John Bartleman
Chief Executive Officer, TradeStation Crypto, Inc.
Michael Fisch
Chief Technology Officer
Company data provided by crunchbase