Senior Brokerage Operations & Controls Analyst

Location: Remote, United States
Employment Type: Full-time
Department: Brokerage Operations
Compensation: $110,000 to $140,000 base salary

About the Role

Aries is looking for a Senior Brokerage Operations & Controls Analyst to help operate and scale our brokerage platform.

This is a senior individual contributor role for someone who understands brokerage operations, enjoys solving complex problems, and wants to help build better systems and processes as the business grows.

You will own daily operational controls, reconciliations, exception management, and complex brokerage investigations. You will also help design the tools, workflows, dashboards, and controls that allow our brokerage operation to scale without simply adding manual processes.

You will work closely with Brokerage Operations, Risk, Compliance, Product, Engineering, and our external clearing, trading, and technology partners.

We are looking for someone who can take an issue from "these numbers do not match" to root cause, resolution, and a better long-term solution.

What You'll Do

• Own daily brokerage reconciliations, operational controls, and exception reviews.

• Investigate discrepancies involving positions, trades, cash, settlement, margin, buying power, and customer accounts.

• Resolve trade breaks, settlement issues, rejected activity, corporate action discrepancies, and other operational exceptions.

• Investigate equities and listed options activity across the trade lifecycle, including execution, clearing, settlement, exercise, assignment, and trade corrections.

• Support complex cash movement, account servicing, restriction, and asset movement issues.

• Design and improve dashboards, reconciliation tools, exception monitoring, controls, and operational workflows.

• Partner with Product and Engineering to automate manual processes and improve operational visibility.

• Translate brokerage requirements and operational problems into clear technical requirements.

• Work directly with clearing, OMS/EMS, execution, and other brokerage partners to investigate issues and drive them through resolution.

• Identify recurring problems and help implement permanent fixes rather than relying on manual workarounds.

• Support Compliance with operational data, controls, regulatory reporting investigations, examinations, and inquiries.

• Help build scalable processes as Aries adds customers, trading volume, products, and capabilities.

What We're Looking For

• 4+ years of experience in brokerage operations, clearing operations, trading operations, securities operations, or a similar broker-dealer function.

• Strong understanding of the U.S. securities trade lifecycle, including execution, clearing, settlement, and account servicing.

• Hands-on experience investigating position, cash, trade, settlement, or reconciliation breaks.

• Working knowledge of equities and listed options.

• Understanding of margin, buying power, settled and unsettled funds, corporate actions, trade corrections, exercises, assignments, and account restrictions.

• Strong analytical, reconciliation, and problem-solving skills.

• Ability to independently investigate complex issues, determine root cause, and drive resolution.

• Strong Excel or Google Sheets skills and comfort working with large datasets and multiple systems.

• Strong written documentation and attention to detail.

• A builder mindset with an interest in improving processes, controls, and tools rather than simply working an existing queue.

• Ability to provide coverage during U.S. market hours.

Nice to Have

• Experience working with a fully disclosed clearing firm or similar brokerage clearing model.

• Experience with OMS/EMS or other trading platforms.

• Experience at a fintech or technology-driven broker-dealer.

• SQL experience.

• Experience working with APIs, SFTP, CSV, JSON, FIX, or similar financial data formats and integrations.

• Experience building or automating reconciliations, dashboards, exception monitoring, or operational controls.

• Familiarity with CAT/CAIS, best execution, Rule 605/606, or other broker-dealer regulatory reporting.

• Experience supporting FINRA or SEC examinations.

• Series 99, Series 7, or another relevant FINRA registration.

FINRA registrations are valued, but practical brokerage operations experience, technical curiosity, and the ability to solve complex operational problems are more important for this role.

Role Structure

This is a senior individual contributor role without initial direct reports. You will be expected to independently own key brokerage operational processes and become an escalation point for complex issues.

As Aries grows, the role may expand into broader ownership of brokerage controls, automation, operational processes, and team leadership.

Compensation

The base salary range for this position is $110,000 to $140,000 USD annually, depending on experience, qualifications, and location.

Why Aries

Aries operates at the intersection of financial markets and technology. Many brokerage challenges require more than following a procedure. They require understanding the trade lifecycle, analyzing data across systems, finding the root cause, and building a better process so the same issue does not happen again.

We are looking for someone who wants to help build the operation, not simply inherit a queue.