Broker Operations Associate

Job Description

We are looking for a motivated operations professional who has experience handling brokerage middle office functions. This position will be responsible for covering multiple aspects of the trade lifecycle and maintenance of customer accounts and security master data to ensure a seamless trading experience for customers. Ideally, the candidate will have prior experience owning these functions daily and a keen eye for creating operating efficiencies and optimizing processes. The individual needs to be a team player, willing to help where needed even if they are not an expert on the subject. They need prior experience working within financial services, preferably at a FinTech, within operations, customer service, or compliance. Bonus points if you have experience or proficiencies in data analytics programs that use SQL and/or Python.

What You Will Do

• Take ownership of critical daily functions such as Trading, Account Reconciliations, and CAT (Consolidated Audit Trail) reporting.

• Run Trade Windows and monitor health of routing systems and venues.

• Troubleshoot, manage, and resolve issues associated with trading, corporate actions, account maintenance, etc...

• Perform daily, weekly, and monthly account and security master maintenance tasks.

• Manage operational compliance and risk monitoring process, such as margin risk monitoring, best execution analysis, CAT reporting etc.

• Execution of relevant Written Supervisory Procedures to comply with all SEC and FINRA rules.

• Collaborate with peers across Invest Operations to support all middle office (Broker Ops) and back office (Clearing Ops) functions.

• Partner closely with Customer Service to investigate and resolve client escalations.

• Help create, document, and maintain processes for different business functions within the Invest Operations team.

• Collaborate with strategy, product managers and engineering on projects to help launch, improve, and scale Invest Operations processes and systems and contribute to overall success of M1.

• Perform other responsibilities as required.

Qualifications

• FINRA Series 7

• FINRA Series 63 or Series 66 (or willing to acquire)

• Experience developing processes, meeting deadlines, and paying close attention to detail.

• Analytical, metrics and data-driven mindset

• Strong communication skills, with the ability to work cross-functionally and communicate with leadership.

• Ability to successfully manage multiple concurrent objectives, assignments, and deadlines, while achieving expected results.

• Ability to learn quickly and be intuitive to solve difficult problems.

• Team player who enjoys collaborating and will take the initiative to own tasks.

• Experience or proficiency using SQL and/or Python, a plus.

Salary range - $70,000 - $85,000

Additional Information

Our Values

Our team embodies our ten core principles and if these principles speak to you – we’d love to talk with you.

• Mission driven Wealth expands what life can be. We exist to help people build it, optimizing with intelligence and precision so their resources become fuel for possibility. This is work worth doing.

• Extreme ownership We own outcomes, not just tasks. When something affects our clients, teammates, or shareholders, we take full responsibility. No excuses, no finger-pointing, no waiting for someone else to act.

• Boldness Thinking small is a self-fulfilling prophecy. We set ambitious goals because they inspire ambitious results. We would rather fail at something meaningful than succeed at something trivial.

• Ruthless prioritization Our ambition will always exceed our capacity. We say no to good ideas so we can pursue great ones, and we use time as a constraint that forces the choice. Generous timelines don't prevent delays; they invite sprawl.

• Integrity We tell the truth: to clients, to each other, to ourselves. We are direct about trade-offs, honest about risks, and unapologetic about what we believe. Trust is earned through clarity, not comfort.

• Effectiveness Intelligence and leverage are how we do more with less. We care about results, not activity. Whatever it takes to deliver, whether that demands disciplined process or resourcefulness.

• Team over self We achieve more together than alone. We hire people who elevate others, we share credit generously, and we treat a teammate's problem as our own.

• Transparency We share information openly, communicate simply, and provide the context people need to make good decisions fast. No hoarding, no politics, no spin.

• Momentum Perfection is a direction, not a destination. Crawl, walk, run, sprint. We make consistent progress with the speed and precision a financial institution demands.

• Resilience Big goals come with setbacks. Markets turn, plans break, timelines slip. We adapt without losing resolve, treating obstacles as problems to solve rather than reasons to quit.

Our Perks

• Competitive Pay and Stock Options

• Comprehensive health, dental, vision, disability, and life insurance

• Retirement benefit with employer match

• Unlimited PTO

• Transparent and open communication with leadership

M1 is an equal opportunity employer and values diversity across the company. M1 does not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

M1 is an equal opportunity employer and values diversity across the company. M1 does not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.