Note: The job is a remote job and is open to candidates in USA. Aries operates at the intersection of financial markets and technology, providing a brokerage platform. The Senior Brokerage Operations & Controls Analyst will own daily operational controls, reconciliations, exception management, and complex brokerage investigations while improving scalable tools, workflows, dashboards, and processes. The role partners with operations, risk, compliance, product, engineering, and external brokerage partners to resolve issues and automate manual work.
Responsibilities
- 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
Skills
- 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
- 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
Benefits
- This role is also eligible for equity compensation.
Company Overview