Margin Operations, Assistant Vice President (Wealth Custody and Clearing)
Core
Design, implement, and operate margin operations for a wealth custody and clearing platform, managing margin calls, deficiencies, and risk escalations for introducing broker-dealers.
Role type
Senior IC margin operations manager (wealth custody and clearing)
Builds
Scalable margin operations capability, controls, reporting, and escalation protocols for a broker-dealer platform
Domain
Financial services, wealth custody, clearing, margin lending
Required skills
Regulation T, FINRA Rule 4210, margin call management, maintenance deficiency resolution, account restriction handling, liquidation coordination, risk-based escalation, concentrated position monitoring, negative equity response, stress-testing interpretation
Preferred skills
Regulation SHO, short-selling operations, Portfolio Margin, risk-based margin methodologies
Technologies
Margin reporting systems, risk analysis tools, clearing firm interfaces
Responsibilities
Design and implement margin operating models and workflows; execute daily margin monitoring and control activities; resolve margin calls, exceptions, and restrictions; coordinate liquidations and negative equity responses; apply regulatory standards to account oversight; liaise with Risk, Compliance, and clearing firms
Seniority
Senior, hands-on IC
