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Front Office Brokerage Operations Lead

6 days, 4 hours ago
United States
Full-time
Lead
Operations Manager
Operations
Asana Confluence JIRA LLM Salesforce
Apply Now
Block

Block

Block is a company that consists of Square, Cash App, Spiral, TIDAL, TBD, and foundational teams. They are focused on economic empowerment by creating tools to expand access to the economy. Square helps sellers run and grow businesses, Cash App redefin...

Capital Markets
10K-50K
Founded 2009
View All Jobs 123

Description

  • Serve as the designated Series 24 supervisory principal for registered Front Office personnel and provide people and process supervision.
  • Own the FINRA complaints program, including identification, classification, escalation, and monthly regulatory reporting.
  • Provide sign-off for Books & Records attestations and ensure records are maintained, accessible, and audit-ready.
  • Review and approve AI-generated customer-facing brokerage communications to meet FINRA human-in-the-loop requirements.
  • Supervise remediation and target resolve protocols, including data loads, customer communications, and regulatory disclosures.
  • Oversee high-exposure escalation workflows such as account takeovers, identity theft, deceased account settlements, and power of attorney validations.
  • Directly manage and develop a team across quality management, complaints, service, and process engineering functions.
  • Monitor queue health, SLAs, service levels, and operational metrics to identify bottlenecks and drive improvement.
  • Oversee BPO partner performance through calibration, training, and performance auditing.
  • Coordinate workforce management, process engineering, operational improvements, and large-scale projects with regulatory impact.

Requirements

  • Active FINRA Series 7, Series 63, and Series 24 licenses in good standing.
  • 5+ years of experience in brokerage operations or financial services.
  • 3+ years of direct people leadership experience in a regulated financial environment.
  • Strong understanding of FINRA supervisory requirements, including Rules 3110, 4513/4530, 4511, and related SEC frameworks.
  • Experience managing regulatory complaint programs.
  • Ability to balance compliance rigor with customer experience and make defensible decisions in gray areas.
  • Strong analytical skills and proficiency in data-driven decision-making.
  • Experience overseeing BPO or outsourced operations in a regulated environment (preferred).
  • Experience with AI/ML-assisted operations, including LLM tools or automated QA systems (preferred).
  • Background in process engineering or operational transformation (preferred).
  • Experience with workforce management systems such as UKG/Kronos and capacity planning (preferred).
  • Proficiency with Salesforce, Jira, Asana, Google Workspace, and Confluence (preferred).
  • Series 9/10 licenses in addition to Series 24 (preferred).
  • BA/BS degree or equivalent professional experience (preferred).

Benefits

  • Competitive market-based pay with U.S. zone-based salary ranges from $135,800 to $245,400 USD.
  • Remote work options across the countries where Cash App operates.
  • Medical insurance.
  • Flexible time off.
  • Retirement savings plans.
  • Modern family planning support.
  • Inclusive interview experience with reasonable accommodations for disabled applicants.

Interested in this position?

Apply directly on the company website

Apply Now

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