Director, Broker-Dealer Operations

Betterment(25 days ago)

HybridFull TimeDirector$173,000 - $189,000Broker-Dealer Operations

About this role

The Director of Broker-Dealer Operations will lead Betterment’s broker-dealer operations overseeing the firm that safeguards customer assets and ensuring compliance with FINRA and SEC rules. The role partners across Product, Engineering, Legal, Compliance, and Finance to support new product launches and maintain accurate financial and regulatory reporting. Based in NYC with a hybrid schedule, the director will drive operational improvements and manage key third-party relationships to support business growth.

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Required Skills

Broker-Dealer
Financial Reporting
Regulatory Compliance
Product Development
Corporate Actions
Reconciliations
Internal Controls
Vendor Management
Team Management
Auditor Relations

+2 more

Qualifications

FINRA Series 7
FINRA Series 24
FINRA Series 27

About Betterment

betterment.com

Betterment is a digital financial-advice and automated investing platform that helps individuals save, invest, and plan for retirement with goal-based "buckets" and tailored portfolios built from low-cost ETFs. Operating as a fiduciary robo-advisor, it offers guided investing, automated rebalancing, tax-smart strategies, and cash management products (Checking via nbkc bank and a high-yield Cash Reserve). Customers can pay for access to licensed human advisors (Premium plan) while account protections include SIPC coverage for securities and FDIC insurance for cash programs. The service emphasizes ease of use, adjustable risk profiles, and expert-led portfolio management.