Vice President Brokerage Operations
MDB Capital S.A, Dallas, TX, United States
MDB Capital Holdings, LLC (NASDAQ: MDBH) is the premier public venture platform dedicated to launching game-changing companies with transformative technologies and strong intellectual property positions. For nearly three decades, we've curated, positioned, and launched category-defining innovators, delivering asymmetric returns to investors. Our integrated launchpad—encompassing strategic positioning, IP strategy via PatentVest, comprehensive professional services, capital underwriting, and a curated investor community—enables us to take early-stage Big Ideas public more efficiently than traditional paths.
As we scale to 4-6 launches per year and beyond, we're focused on operationalizing our proven model to create sustainable value for entrepreneurs, investors, and shareholders. With operations spanning the U.S. and Latin America, our mostly remote team thrives on cross-functional collaboration to drive efficiency and momentum in launching high-potential companies.
About the Opportunity:
The Vice President of Brokerage Operations is responsible for the end-to-end operational integrity of the broker-dealer platform. This role oversees clearing and settlement, middle- and back-office functions, risk and control frameworks, and vendor/technology infrastructure. This role directly protects the firm’s regulatory standing, operational integrity, and financial reputation. As the firm scales trading volume, product complexity, and public-market visibility, the VP of Brokerage Operations ensures infrastructure remains compliant, efficient, and defensible under regulatory scrutiny. Our Culture:
We operate in a culture built on transparency, open communication, and true collaboration. Team members are expected to think independently, act with an ownership mindset, and contribute solutions—not wait for instruction. We reward merit, initiative, and follow-through, and we value people who bring an entrepreneurial spirit and a self-starter attitude to every challenge. If you thrive in a high-trust, high-accountability environment where ideas move fast and impact is recognized, you’ll fit right in. Summary & Responsibilities:
This position ensures the firm operates with institutional-grade controls, near-zero settlement errors, regulatory readiness, and scalable infrastructure to support growth in trading volume, product expansion, and regulatory complexity. The VP of Brokerage Operations is accountable for operational excellence, regulatory defensibility, and continuous improvement through automation and AI-enabled workflows. Key Responsibilities:
Clearing and Settlement Oversight
Manage daily trade matching, clearance, and settlement activities across equities, fixed income, options, and other supported products. Maintain direct depository and clearing corporation connectivity (e.g., NSCC, DTC, OCC, custodial relationships). Oversee trade exception management, break resolution, and fail mitigation. Ensure T+1 (or applicable cycle) settlement compliance. Coordinate closely with trading desks, compliance, finance, and external clearing firms. Middle & Back-Office Management
Oversee cash management processes including ACH, wires, funding, and liquidity controls. Supervise asset movements, transfers, ACATS processing, and custody relationships. Manage corporate actions lifecycle (dividends, splits, reorganizations, mandatory/voluntary events). Ensure accurate books and records in accordance with SEC Rule 17a-3 and 17a-4 requirements. Lead reconciliation processes across securities, cash, and suspense accounts. Design, implement, and continuously enhance Written Supervisory Procedures (WSPs). Establish operational risk management controls across settlement, cash, and custody functions. Monitor key risk indicators (KRIs) and implement corrective actions when thresholds are exceeded. Lead regulatory exam preparedness and remediation efforts for FINRA and SEC examinations. Partner with Compliance and Legal to ensure operational alignment with evolving regulations. Develop standardized, compliance-approved materials for deal and portfolio communication Manage critical third-party service bureau relationships, clearing firms, custodians, and fintech vendors. Negotiate SLAs and oversee performance metrics and compliance obligations. Drive automation initiatives, workflow digitization, and AI-enabled process optimization. Lead system enhancements, platform conversions, and operational scalability initiatives. Ensure data integrity, cybersecurity coordination, and system resilience planning. Qualifications
10+ years of broker-dealer operations experience, including clearing and settlement leadership. Build and lead a high-performing operations team across clearing, reconciliations, and settlements. Establish clear accountability frameworks and escalation protocols. Promote a culture of precision, ownership, and regulatory discipline. Strong knowledge of FINRA and SEC regulatory frameworks. Experience with direct clearing relationships and depository connectivity. Proven track record managing regulatory examinations. Experience implementing automation, RPA, or AI tools within operational environments. Series 7, 24 (preferred), and other applicable registrations. Location:
This position is eligible for remote work location within the US.
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The Vice President of Brokerage Operations is responsible for the end-to-end operational integrity of the broker-dealer platform. This role oversees clearing and settlement, middle- and back-office functions, risk and control frameworks, and vendor/technology infrastructure. This role directly protects the firm’s regulatory standing, operational integrity, and financial reputation. As the firm scales trading volume, product complexity, and public-market visibility, the VP of Brokerage Operations ensures infrastructure remains compliant, efficient, and defensible under regulatory scrutiny. Our Culture:
We operate in a culture built on transparency, open communication, and true collaboration. Team members are expected to think independently, act with an ownership mindset, and contribute solutions—not wait for instruction. We reward merit, initiative, and follow-through, and we value people who bring an entrepreneurial spirit and a self-starter attitude to every challenge. If you thrive in a high-trust, high-accountability environment where ideas move fast and impact is recognized, you’ll fit right in. Summary & Responsibilities:
This position ensures the firm operates with institutional-grade controls, near-zero settlement errors, regulatory readiness, and scalable infrastructure to support growth in trading volume, product expansion, and regulatory complexity. The VP of Brokerage Operations is accountable for operational excellence, regulatory defensibility, and continuous improvement through automation and AI-enabled workflows. Key Responsibilities:
Clearing and Settlement Oversight
Manage daily trade matching, clearance, and settlement activities across equities, fixed income, options, and other supported products. Maintain direct depository and clearing corporation connectivity (e.g., NSCC, DTC, OCC, custodial relationships). Oversee trade exception management, break resolution, and fail mitigation. Ensure T+1 (or applicable cycle) settlement compliance. Coordinate closely with trading desks, compliance, finance, and external clearing firms. Middle & Back-Office Management
Oversee cash management processes including ACH, wires, funding, and liquidity controls. Supervise asset movements, transfers, ACATS processing, and custody relationships. Manage corporate actions lifecycle (dividends, splits, reorganizations, mandatory/voluntary events). Ensure accurate books and records in accordance with SEC Rule 17a-3 and 17a-4 requirements. Lead reconciliation processes across securities, cash, and suspense accounts. Design, implement, and continuously enhance Written Supervisory Procedures (WSPs). Establish operational risk management controls across settlement, cash, and custody functions. Monitor key risk indicators (KRIs) and implement corrective actions when thresholds are exceeded. Lead regulatory exam preparedness and remediation efforts for FINRA and SEC examinations. Partner with Compliance and Legal to ensure operational alignment with evolving regulations. Develop standardized, compliance-approved materials for deal and portfolio communication Manage critical third-party service bureau relationships, clearing firms, custodians, and fintech vendors. Negotiate SLAs and oversee performance metrics and compliance obligations. Drive automation initiatives, workflow digitization, and AI-enabled process optimization. Lead system enhancements, platform conversions, and operational scalability initiatives. Ensure data integrity, cybersecurity coordination, and system resilience planning. Qualifications
10+ years of broker-dealer operations experience, including clearing and settlement leadership. Build and lead a high-performing operations team across clearing, reconciliations, and settlements. Establish clear accountability frameworks and escalation protocols. Promote a culture of precision, ownership, and regulatory discipline. Strong knowledge of FINRA and SEC regulatory frameworks. Experience with direct clearing relationships and depository connectivity. Proven track record managing regulatory examinations. Experience implementing automation, RPA, or AI tools within operational environments. Series 7, 24 (preferred), and other applicable registrations. Location:
This position is eligible for remote work location within the US.
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