Director, Broker-Dealer Operations jobs in United States
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Betterment · 1 day ago

Director, Broker-Dealer Operations

positionBetterment HQ - New York City
timeFull-time
remoteHybrid
seniorityMid, Senior Level
money$173K/yr - $189K/yr
date5+ years exp

Betterment is a leading, technology-driven financial services company that offers investing and retirement solutions. The Director of Broker-Dealer Operations will lead the team overseeing all financial and operational aspects of the broker-dealer business, ensuring compliance with industry regulations and optimizing operational processes.

FinanceFinancial ServicesFinTechImpact InvestingRetirement
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Culture & Values
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H1B Sponsor Likelynote

Responsibilities

Manage the broker-dealer operations team, providing feedback and coaching, partnering to solve a complex issue, and overseeing the completion of all required tasks
Design new systems to improve and enhance procedures for corporate action processing, control operation, net capital monitoring, and other key responsibilities
Maintain partner relationships for key banking and securities servicing vendors
Partner with our Legal and Compliance teams determine how best to structure a new product, design a control, or remediate an issue
Whiteboard with Product and Engineering on how to implement a new process
Collaborate with finance to on reporting and budgets

Qualification

Broker-dealer operationsFinancial reportingRegulatory complianceProduct developmentManagement experienceFINRA Series 7FINRA Series 24FINRA Series 27Communication skillsCollaboration

Required

Experience working in and knowledge of financial service operations, specifically related to securities products (e.g. corporate actions, margin, transfers, etc)
5+ years of management experience of an operational or related team
A track record of launching new products and processes, as well as building out ongoing support
FINRA Series 7, 24, and/or 27, or the ability to rapidly obtain
Exceptional communication skills, both written and verbal

Preferred

Experience working in FinTech or interacting with auditors and regulators

Benefits

Competitive equity package
Health, dental and vision benefits
Life and AD&D
Short-term and long-term disability insurance
EAP
Commuter and parking benefits
FSA/HSA
401(k) with employer match
Flexible PTO policy
Infertility support and World Professional Association for Transgender Health approved benefits
Generous parental leave
Lunch from our in-house chef at our NYC headquarters

Company

Betterment

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Glassdoor4.0
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Betterment is an online investment company that offers investing and retirement solutions for their current clients and clients-to-be.
dateFounded in 2008
location
New York, New York, USA
people-size201-500 employees
web-link
http://www.betterment.com

H1B Sponsorship

Betterment has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2024 (1)
2022 (1)
2020 (4)

Funding

Current Stage
Late Stage
Total Funding
$435M
Key Investors
TreasuryORIX Growth CapitalSharesPost Investment Management
2021-09-29Series F· $60M
2021-09-29Debt Financing· $100M
2021-04-30Series Unknown

Leadership Team

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John Mileham
CTO
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Jon Stein
Founder and Board Member
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Recent News

New Orleans CityBusiness
How Americans are setting financial goals for 2026
2025-12-30
Menlo Ventures
Menlo Ventures Portfolio
2025-12-24
PR Newswire
Nearly Half of U.S. Workers Now Say They'll Need $1 Million or More to Retire, Betterment Finds
2025-12-15
Company data provided by crunchbase