Job Description

About Savvy Wealth:

Wealth management is a $545 billion industry that still runs on manual work. 75% of advisors offer no digital communication beyond email, and most still build financial plans by hand in Excel. Savvy is reinventing what it looks like to be a financial advisor. Founder Ritik Malhotra saw the fragmentation firsthand after seeking out his own advisor, and started Savvy to give independent advisors a modern, AI-native home.

Savvy is a registered investment advisor (RIA), and we partner with experienced financial advisors who want to grow without running the back office themselves. Advisors bring their book and join Savvy, running under their own brand (or ours), and Savvy earns a percentage of the assets they manage. In return, they get a true business-in-a-box: a proprietary tech platform and client portal, an in-house marketing team that helps them grow, a world-class investment management team, and a dedicated client services team that runs day-to-day operations and support. Advisors at Savvy service up to 50% more households and save 19 hours a week.

AI runs through everything we do. On the product side, Savvy Intelligence (released April 2026) is the only AI built for wealth managers that can see a client's complete financial picture. Internally, everyone at Savvy uses Claude and is encouraged to experiment with it, backed by a dedicated AI enablement team and a RevOps org building agents in-house.

We're a Series B company hitting our stride, with roughly 150 employees and over 500% year-over-year growth, backed by $105M from Thrive Capital, Index Ventures, Canvas Ventures, and Mark Casady (former CEO of LPL Financial). Come help us scale!

Recognition:

We're a Certified Great Place to Work and have been honored for our culture and our growth:

• Newsweek's America's Greatest Startup Workplaces (2026)

• Fortune Best Workplaces in New York™ (2026), Small & Medium Companies

• Great Place to Work Certified™
  
  

The Role:

The Brokerage Operations Manager will own day-to-day operations for Savvy's broker-dealer, ensuring seamless trade execution, reconciliation, and regulatory compliance. This role sits at the center of all trading workflows from pre-trade setup through post-trade settlement, and is responsible for maintaining operational excellence as Savvy scales trade volume. You'll work closely with Investment Operations, Compliance, and Fidelity's clearing team to ensure best execution, resolve exceptions, and build scalable processes. This role requires strong attention to detail, process orientation, comfort leveraging AI tools to improve efficiency and accuracy, and the ability to manage multiple workflows simultaneously in a fast-paced startup environment.

Responsibilities:

Brokerage Operations
For Savvy's RIA, these functions are currently owned and executed by Schwab/Fidelity and sit outside the SWIM investment operations team's scope. As we launch our broker-dealer, this role owns them end-to-end with more to build:

• Own end-to-end brokerage lifecycle support and exception handling

• Monitor post-trade exceptions and settlement issues

• Execute trade error corrections and reconciliation

• Monitor block allocation and reconciliation (BTAM)

• Manage corporate action communications

• Own best execution review and documentation

• Monitor cash, margin, and position breaks, working with Fidelity's margin specialist

• Monitor TRACE reporting for fixed income

Account & Cashiering Operations

• Approve domestic money movement

• Approve international wires

• Monitor and process AML alerts

• Process RCD deposits

• Review new account opening exceptions

• Monitor account restrictions

Compliance Operations

• Prepare FOCUS reports

• Track escheatment

• Support FINRA and audit requests

• Prepare client complaint and resolution reports
  

Must Have:

• 3-5 years of total experience across investment banking, consulting, or fintech startups

• High attention to detail and comfort operating with real ambiguity — this function is being built from scratch

• Strong process orientation: able to build SOPs and controls where none exist today

• Comfortable partnering across Investment Operations, Compliance/Legal, and Product/Engineering

• Comfort using AI/automation tools to reduce manual reconciliation and exception-detection work

• Experience at a high-growth fintech or startup, or building an operations function from the ground up
  

Nice to have:

• Prior experience at an introducing broker-dealer or clearing firm (e.g., Fidelity NFS, Pershing, Apex)

• Familiarity with cashiering operations: money movement approvals, wire approvals, AML alert monitoring

• Working knowledge of the trade lifecycle (execution through settlement) and exception handling (breaks, fails, corrections)

• Understanding of FINRA/SEC compliance reporting requirements (e.g., FOCUS reports, escheatment, audit/exam support)

• SIE, Series 4, 53
  
  

Benefits:

• Competitive salary and equity package

• Unlimited PTO + paid company holidays

• Access to holistic medical, dental, and vision plans

• Company 401(k), Commuter, and HSA/FSA plans

• NYC office in the heart of Manhattan

• Lunch and snacks provided in the office

• Access to virtual mental health care (Spring Health), vision related benefits (XP Health), and health concierge (Rightway) to help you find the right care

• Access to counseling for stress management, dependent care, nutrition, fitness, legal, and financial issues (Guardian WorkLifeMatters EAP)