• The CLUB Field Operations Partner serves as a designated operational and compliance controls resource for assigned division. • Analyzes the current business environment and drives change that results in enhanced operations and compliance with all relevant regulations. • Ensures integration with organization-wide compliance initiatives and lead all efforts related to ongoing testing, audits and reviews. • Provides technical assistance to the business unit and fosters a culture of operational controls and compliance. • Performs store walks to assess day-to-day operations and effectiveness. • Develops, documents and tracks trend reporting to ensure effective oversight of business processes, procedures and controls and resolution of implemented solutions. • Partners with business unit stakeholders to execute solutions and ensures appropriate processes and procedures are developed, documented and monitored. • Prioritizes operational controls and compliance-related efforts within the business unit based on risk, strategic priorities and business need. • Partners consistently with store and divisional leadership and CLUB leadership to understand compliance and regulatory risks, requirements or issues relevant to the assigned business unit. • Leads gathering and submission of information, response to findings and development of solutions. • Serves as the primary liaison for auditors, regulators and other stakeholders conducting formal audits and reviews. • Fosters a culture of compliance within the division and all key stakeholders at the store and divisional levels. • Influences leadership decision-making on operational control and compliance-related business practices.

• Lead and manage ACA operational teams responsible for 1094/1095 form processing, IRS submission, and employer compliance reporting. • Monitor team capacity, deliverables, and performance daily to ensure timely and accurate completion of work. • Conduct regular 1:1s to support development, address needs, and ensure successful task execution. • Serve as the primary client escalation point for ACA service delivery concerns, driving resolution and ensuring high-quality outcomes. • Provide operational performance reports to senior leadership weekly, identifying successes, risks, and resourcing needs. • Lead weekly team meetings to communicate business initiatives, review deliverables, and align on client and compliance timelines. • Hire, develop, and retain team members who reflect bswift’s values and commitment to service excellence. • Oversee ACA implementations, managing risks and communicating progress to senior leadership and clients. • Collaborate with internal teams (Product, QA, and Client Services) to ensure accuracy in ACA processing and system functionality. • Partner with the VP in remediation efforts and act as the point of contact for clients seeking engagement with senior management or subject matter experts. • Provide ongoing feedback, coaching, and mentorship to direct reports, fostering professional growth and accountability. • Manage performance against KPIs and service-level expectations. • Identify process improvement opportunities to streamline ACA operations and enhance efficiency.

This description is a summary of our understanding of the job description. Click on 'Apply' button to find out more. Role Description Your Role: - Design, implement, and maintain the Ops Control framework across back-office operations, including settlement, clearing, custody, cashiering, margin, stock loan, and customer communications - Oversee ICOC review design, testing, and documentation to ensure reviews are risk-based, well-documented, and performed in accordance with applicable regulatory requirements - Independently verify that large and aged deficits, suspense items, stock record breaks, securities lending breaks, aged recalls, and fail positions are identified, escalated, and resolved within defined timeframes - Independently oversee and test operational processes performed by ops teams to confirm controls are properly designed, operating as intended, and consistently followed - Maintain a centralized controls inventory and monitoring hub (GRC tooling, dashboards, or internal platforms) covering control ownership, testing cadence, issues, and remediation status - Conduct thematic reviews to identify systemic control weaknesses and emerging risks - Challenge control design and execution where gaps exist and partner with operations leadership to drive durable improvements - Lead Ops Control exam preparedness, including coordination and support for internal audits, external auditors, and FINRA and SEC examinations - Partner with Product and Engineering to incorporate operational control considerations into new product development and change initiatives - Drive automation and the use of advanced tooling, including AI-enabled review processes, to improve control effectiveness, scalability, and sustainability Qualifications - 7+ years of experience in clearing broker-dealer back-office operations, Ops Control, or related control functions - Prior leadership experience in Ops Control, Clearing Operations, or Financial Control - Demonstrated hands-on knowledge of: - SEA Rules 15c3-1 and 15c3-3 - Margin and rehypothecation rules - FINRA Uniform Practice Code (Rule 11000 Series) - Broker fails, buy-ins, DK resolution, and exception management - Stock loan lifecycle, including aged loans and recalls - Customer statements, trade confirmations, and ICOC review - Proven ability to identify, test, and challenge operational controls, with a strong attention to detail and focus on reducing and resolving breaks - Direct experience supporting FINRA and SEC examinations - Clear, concise communicator able to summarize findings for both technical and non-technical stakeholders - Comfortable operating independently in a fast-paced, technology-driven, high-growth environment - Able to navigate ambiguity, prioritize competing deliverables, and proactively drive issues to resolution Benefits - Competitive Salary & Stock Options - Health Benefits - New Hire Home-Office Setup: One-time USD $500 - Monthly Stipend: USD $150 per month via a Brex Card

• Manage a large portfolio of customer business integration projects. • Attend calls for potential integrations to review requirements and determine scope of project. • Proactively review projects for potential gaps and/or missing requirements necessary to fulfill the business request. • Coordinate and manage project needs with technical and/or development teams and ensure these teams are completing their tasks within the project timeline. • Provide ongoing support and provide regular updates to all parties involved regarding the project status as well as potential roadblocks or delays. • Document completed projects in application and distribute material to customers, internal departments, sales training, update applications/systems required. • Work with technical team on support tickets for existing Integrations. • Serve as a resource and escalation point for issues and integrations managed by offshore resources. • Conduct routine reviews of third parties to determine if technical or process updates are required.