Brokerage Operations Specialist

Redwood City, CA
At Wealthfront we have an ambitious vision to optimize and automate all your personal finances. By delivering our service exclusively through software, we can also offer very low fees and account minimums. Over the past six years our clients have rewarded us with $10 billion to manage and we have attracted some of the best venture capital firms in the business including Benchmark Capital, Greylock, Index Ventures and Social Capital. We recently closed a $75 million round of funding from Tiger Global and are rapidly growing our team. So if you're passionate about helping people secure their ambitions while helping to change an industry, keep reading.

Wealthfront is currently hiring a Brokerage Operations Specialist to be responsible for daily brokerage operations functions including new account opening and cashiering. Brokerage Operations is a division of Wealthfront Brokerage and works closely with Client Services and all other divisions of Wealthfront Inc. -  including the engineering and product teams - to provide the best client experience possible.


    • Review and process account transfer requests (ACAT and Non-ACAT) within service level
    • Complete daily brokerage operations exception reports including unreconciled activity, margin, corporate actions, etc.
    • Conduct quality control reviews and regulatory document delivery reconciliation
    • Process trading related tasks including placing orders, settlements, trade corrections
    • Perform cashiering duties including verification of incoming wire’s, checks, ACH’s and process withdrawal requests
    • Review and approve new client accounts for management according to policy and procedures  
    • Provide ongoing account maintenance and review of new and existing account activity for risk mitigation related to AML  
    • Collaborate cross-functionally with other teams at the company, specifically creating strong relationships with engineers


    • Minimum of 2 years brokerage industry experience preferably in a back office role
    • Securities regulatory knowledge and strong understanding of account transfers, corporate actions/dividends, and trading
    • Understanding of AML and risk mitigation rules
    • Strong organizational skills
    • Customer-centric business philosophy and collaborative mindest
    • Ability to communicate cross-functionally
    • Appreciation and understanding of applying technology and software to business processes
    • Strong work ethic and hands-on approach
    • Ability to quickly learn proprietary web-based account services applications
    • Appreciation for compliance and adherence to government regulations
    • Bachelor’s degree in finance, economics, or related field or requisite related work experience
    • FINRA Series 7 required. Series 24 preferred (or ability to obtain in 90 days)
About Wealthfront:
For more information please visit

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.