Account Operations Lead (Fintech)

TL;DR

Account Operations Lead (Fintech): Managing complex customer account lifecycles and regulatory compliance within a brokerage environment with an accent on onboarding, asset movements, and risk mitigation. Focus on resolving high-level escalations, ensuring adherence to FINRA standards, and optimizing internal operational workflows.

Location: Must be based in Denver, CO or Westlake, TX with in-person attendance expected at least 3 days per week.

Salary: $58,000 - $68,000 USD (Base pay for Denver/Westlake zone)

Company

A financial services platform on a mission to democratize finance for all.

What you will do

• Review and process account cases across onboarding, maintenance, restrictions, and asset movements.
• Handle complex scenarios including estates, powers of attorney, and divorce-related distributions.
• Investigate and resolve escalations from Customer Experience, Risk, Compliance, and Legal teams.
• Ensure strict adherence to written supervisory procedures, internal controls, and documentation standards.
• Identify process gaps and propose improvements to workflows, tools, and internal documentation.

Requirements

• Active FINRA Series 7 and Series 63 licenses.
• Experience in brokerage account operations such as onboarding, KYC/CIP, account maintenance, or asset transfers.
• Strong analytical skills to interpret policies and regulatory requirements in real-world scenarios.
• Ability to manage multiple workstreams and consistently meet service level and quality targets.
• Clear written and verbal communication skills for documenting decisions and rationale.

Nice to have

• FINRA Series 24 license.

Culture & Benefits

• Performance-driven compensation with bonuses and equity ownership.
• 100% paid health insurance for employees and 90% coverage for dependents.
• 401(k) matching and a flexible lifestyle wallet for wellness and learning.
• Employer-paid life, disability, fertility, and mental health benefits.
• Exceptional office experience featuring catered meals and comfortable workspaces.