Director Of Brokerage Operations, Diamond Bar

This range is provided by Golden State Capital.
Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
$170,******/yr - $230,******/yr
Location:
Diamond Bar, CA |
Full-Time, On-Site
Company Description
Golden State Capital is a financial services company dedicated to empowering small and medium-sized enterprises (SMEs) by connecting them with the tools and opportunities to succeed in the capital markets.
With a focus on innovation, trust, and tailored growth strategies, we aim to be a reliable partner for businesses seeking to unlock their potential.
Combining deep industry expertise with a commitment to long-term success, we help entrepreneurs and companies achieve their goals.
Role Overview
We are seeking a Director of Brokerage Operations to lead and optimize our brokerage operations in an exciting startup environment.
This role is critical in ensuring regulatory compliance, operational excellence, and scalable processes, while supporting a high-performing, collaborative team.
Qualifications
Experience:
Minimum 3 years in a brokerage firm or financial institution, with at least 1 year in a managerial role
Licensure:
Active Series 24 license required
Boutique Brokerage Expertise:
Experience in small or mid-size brokerage operations with a strong understanding of unique challenges
Project Leadership:
Proven ability to drive initiatives from start to finish independently
Industry Knowledge:
Strong understanding of brokerage operations, financial products, regulatory frameworks, and risk management
Work Location:
Must be able to work on-site in Diamond Bar, CA
Key Responsibilities
Ensuring
FINRA and SEC compliance
across all brokerage operations
Leading, mentoring, and managing the operations team
Analyzing, streamlining, and improving operational processes
Managing budgets and operational resources
Delivering exceptional service to clients and internal stakeholders
Exceptional attention to detail and organizational skills
Analytical, proactive problem-solver
Strong understanding of financial services and brokerage operations
Excellent collaboration, communication, and leadership abilities
Why Join Us?
Work in a dynamic, fast-paced startup environment shaping the future of financial services
Competitive salary with performance-based bonuses
Career development programs and clear growth pathways
Comprehensive healthcare benefits and employee perks
Opportunity to collaborate with top-tier industry professionals
Seniority level
Director
Employment type
Full-time
Job function
Management and Manufacturing
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