Best suited to experienced broker-dealer operations leaders with hands-on clearance and settlement expertise working in a self-clearing or correspondent clearing firm.
Derived from job-description analysis by Serendipath's career intelligence engine.
Original posting from Atomic Invest via Ashby
PRINCIPAL OPERATIONS OFFICER
ABOUT ATOMICVEST
We are a fast-growing, mission-driven company powering the expansion of financial services and wealth creation globally. We build critical financial infrastructure that allows consumer-facing companies to offer engaging investing experiences to their customers in a frictionless way. We host advanced investing capabilities ranging from ESG investing to treasury bills and equities. We are a team of financial empowerment enthusiasts who have come together from various industries including tech, banking, finance, and law.
The company has raised $55M in funding and is positioned to rapidly scale. Come join an exciting opportunity to make a lasting impact!
ABOUT THE ROLE
We are looking for our Principal Operations Officer to serve as Atomic Brokerage's designated operations principal.
This position will be reporting to the Head of Brokerage Operations, with direct responsibility for the day-to-day operations behind the broker-dealer's books and records: trade settlement, clearing, corporate actions, account onboarding, and reconciliations. You will be a core leader on the operations team, working closely with our FinOp, compliance, legal, and engineering teams. This role is equal parts hands-on operator and strategic builder, you will help design and strengthen our operational controls, supervisory procedures, and automation roadmap as we continue to scale our self-clearing infrastructure.
Atomic is a remote-first company; however, candidates must be based in the US with New York metro or San Francisco Bay Area a plus.
Licenses required: Active Series 27 and Series 24
KEY RESPONSIBILITIES
- Own the end-to-end operational lifecycle for Atomic Brokerage: clearance and settlement, corporate actions processing, account onboarding and maintenance, and daily books-and-records reconciliations
- Serve as a designated supervisory principal for operations functions; write, maintain, and defend supervisory procedures in FINRA and SEC examinations
- Support FOCUS reporting and net capital compliance by maintaining clean operational data and timely reconciliation of all accounts
- Partner with engineering to identify automation opportunities across reconciliations, exception queues, corporate actions workflows, and regulatory reporting
- Collaborate with the FinOp, compliance, and legal teams on regulatory filings, exam readiness, and control design
- Help shape the operational design and control environment as the business scales: building processes, procedures, and controls in a fast-moving startup environment
REQUIREMENTS
We're looking for a hands-on operations principal who has run broker-dealer operations at a firm that clears, not someone who has only supervised from the outside. Some things that may make you a great fit:
- Active Series 27, 24, 63 license
- 5+ years of progressive experience in broker-dealer operations, including leadership of an operations team
- Direct experience with clearance and settlement, and with NSCC and DTC processes, at a self-clearing or correspondent clearing firm
- Experience owning corporate actions, and daily books-and-records reconciliations
- Working knowledge of net capital, customer protection (15c3-3), and FOCUS reporting, and how operational breaks flow into them
- Ability to write and maintain supervisory procedures for operations functions and to defend them in a FINRA or SEC exam
- Comfort building processes while the business is still taking shape
NICE TO HAVE
- Experience with InteliClear or a comparable clearing and books-and-records platform
- Familiarity with securities lending, repo, options, or margin operations
- Experience working with engineering teams to automate reconciliations, exception queues, and regulatory reporting
- Bonus for other licenses including Series 4, 57, 79, 6, other.
Source: Atomic Invest careers (Ashby)