Sr. Manager, Broker-Dealer Financial Operations & Controls

Betterment(1 month ago)

HybridFull TimeManager$135,000 - $160,000Firm Operations

About this role

The Senior Manager of Broker-Dealer Financial Operations and Controls will oversee the financial and operational aspects of Betterment’s broker-dealer, ensuring the business operates in compliance with applicable FINRA and SEC requirements. The role partners cross-functionally and with external parties to maintain accurate financial records, support reporting, and enable product and business growth. This position is based in NYC with a hybrid in-office expectation (Monday–Thursday).

View Original Listing

Required Skills

Reconciliations
Liquidity Monitoring
Net Capital
Money Movements
Securities Processing
Controls Implementation
Regulatory Reporting
Financial Reporting
Auditor Liaison
Corporate Actions

+4 more

Qualifications

Bachelor's Degree in Accounting
Master's Degree in Accounting
CPA License
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.