Principal Operations Officer
About the Role
You will lead and scale core operations across regulated businesses, translating strategic goals into operational systems and measurable KPIs. You will oversee day-to-day regulated operations including clearing, settlement and custody, maintain audit readiness and controls, automate manual workflows with Product and Engineering, improve KYC/AML and investor onboarding, and manage cross-functional execution with Compliance, Finance, and Legal to ensure reliable, efficient operations.
Requirements
- 15+ years of operations experience in broker dealer fintech or digital assets
- 10+ years in a senior leadership role
- Proven success scaling operations in a broker dealer ecosystem
- Requisite FINRA licensing S7 S24 S27 S99 at a minimum
- Strong understanding of financial regulations compliance operations and risk management
- Demonstrated ability to manage and optimize cross-functional systems and workflows
- Experience leading distributed teams across multiple time zones and jurisdictions
- Exceptional analytical organizational and leadership skills
- Strong communication and stakeholder management abilities including interfacing with boards and regulators
- Experience with broker dealer operational back-office and books & records systems (preferred)
- Familiarity with on-chain transaction monitoring smart contracts and token standards ERC-20 ERC-1400 (preferred)
- Experience with process automation tools CRMs (HubSpot Salesforce) and compliance systems (Sumsub iDology) (preferred)
- MBA JD or equivalent advanced degree is a plus
Responsibilities
- Develop and execute company-wide operational strategies
- Drive operational efficiency scalability and resilience across investor onboarding token issuance trading and transfer agency functions
- Translate high-level objectives into measurable KPIs and ensure accountability across departments
- Oversee day-to-day operations of regulated entities including broker-dealer ATS and transfer agent
- Oversee broker dealer clearing settlement and custody functions
- Maintain operational readiness for audits examinations and regulatory filings
- Design and enforce internal controls risk management frameworks and escalation protocols
- Partner with Product and Engineering to automate workflows and ensure accurate reconciliation between blockchain and traditional financial systems
- Enhance KYC AML investor onboarding and token issuance processes via system integrations
- Oversee operational systems including CRM KYC tools and fund administration platforms
- Lead and scale teams across Operations Investor Support and Customer Success
- Collaborate with Compliance Product and Legal to ensure operational alignment with regulatory frameworks
- Drive continuous improvement through feedback loops between customer-facing teams and product development
- Partner with Finance to manage budgets optimize operational spend and forecast resourcing needs
- Support executive team in capital planning and board communications
- Identify and execute opportunities for operational leverage vendor consolidation and automation
Benefits
- Unlimited Paid Time Off (PTO)
- Equity Grant Opportunities
- Remote Work Flexibility - Work from anywhere
- 100% employer-paid Medical Dental and Vision coverage for employees and family (US employees)
- 401(k) retirement plan