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.
The trajectory is steep and it's still early. We're a Series C company with 170+ people, $200M raised, and $100M ARR in sight this year. Inc. ranked us the No. 1 fastest-growing financial services company in America in 2026. Come build the next stage with us!
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)
Great Place to Work Certified™
The Role:
Savvy's introducing broker-dealer is live, but the trading desk operation underneath it is still a work in progress. Trade supervision, best execution review, and principal-level sign-off have been handled ad hoc, split across a few people without a dedicated senior owner. As Sr. Brokerage Operations Manager, you'll be the licensed principal of record for trading activity and the primary operations counterpart to our General Counsel/CCO. This is a senior, high-visibility role: you'll operate as a peer to Legal/Compliance and Business Operations.
Responsibilities:
Trading Desk Leadership
Build and own Savvy's trading desk operation end-to-end — trade lifecycle, execution quality, and best execution review — as the function's senior owner
Serve as the licensed principal (Series 7/24) of record for trading activity, holding personal sign-off authority on trades, account actions, and exceptions requiring principal review
Design and run Savvy's best execution program, holding Fidelity (and future execution venues) accountable to execution quality standards
Own CAT/CAIS and Rule 605/606 regulatory trade reporting
Drive AI/automation opportunities across the trading desk and back office — reducing manual reconciliation, exception detection, and compliance documentation — with a bias toward building rather than scaling headcount
Regulatory & Principal Oversight
Serve as CCO's primary operations counterpart on broker-dealer regulatory matters
Resolve open licensing and supervisory-control ambiguities (e.g., manual vs. API-based account entry, principal pre-approval parameters) into documented, auditable policy
Own FINRA examination readiness: supervisory review documentation, WSP maintenance, and audit-trail/document-versioning infrastructure
Personally own escalation and disclosure decisions on regulatory-adjacent issues — late reviews, trade breaks above threshold, unusual trading patterns
Experience building document versioning or audit-trail infrastructure
Account, Cashiering & Compliance Operations
Own the strategic design of account and cashiering operations — money movement approvals, wire approvals, AML alert escalation, account restriction management
Partner with Legal & Compliance on FINRA/audit requests, complaint reporting, and escheatment tracking
Own the Fidelity relationship and vendor management for broker-dealer operations, transitioning fully from Rohan over time
Must Have:
6-8+ years of broker-dealer operations experience, including having personally built a brokerage/trading operations function from scratch (e.g., at an RIA custodian, broker-dealer, or clearing firm)
Series 7, 63 and 24 licenses
Deep knowledge of the trade lifecycle, best execution, and regulatory trade reporting (CAT/CAIS, Rule 605/606)
Comfortable operating as a senior peer to Legal/Compliance and company leadership — presents and defends decisions directly, doesn't need managing
Experience preparing for or supporting a FINRA/SEC examination
High comfort with ambiguity — this function and its controls are being built from scratch
AI-first builder mindset with a track record of automating manual ops work rather than scaling through headcount
Background in a high-growth fintech or startup environment
Nice to Have:
Additional licensing (Series 4, 53, 54, 9/10 or 99)
Experience owning a clearing firm relationship (e.g., Fidelity NFS)
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) 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)