Order Room Trading Support, Assistant Vice President
Core
Support order handling, routing, and risk management for client trading activity across US equities, listed options, futures, and crypto.
Role type
Senior IC trading operations specialist (middle-office)
Builds
Scalable trading environment for self-directed brokerage clients
Domain
Financial services / Securities trading
Required skills
Series 7 license, Series 63 license, Series 57 license (preferred), order handling, order routing, broker review, manual order entry, trade inquiry escalation, exception resolution, risk management processes, SEC Rule 15c3-5 market access controls, pre-trade controls, execution quality reviews, market center analysis, operational risk management, OMS/EMS platforms, trading tools, market data platforms, brokerage middle-office systems
Preferred skills
Experience across multiple asset classes, process automation, data analysis, reporting, workflow documentation
Technologies
E*TRADE trading platforms, OMS/EMS platforms, Microsoft Excel, Microsoft PowerPoint
Responsibilities
Support day-to-day Trading Operations activities for a dynamic, high-volume brokerage environment, Assist with order handling, routing, broker review, manual order entry, trade inquiry escalation, and exception resolution, Support risk management processes related to SEC Rule 15c3-5 market access controls, Contribute to best execution and order routing governance through execution quality reviews, market center analysis, operational risk management procedures, and leadership reporting, Analyze trading system activity, execution data, order rejects, market access controls, trading halts, order marking, trade reporting, corporate action impacts, and other operational risk indicators, Identify risk in day-to-day processes and help drive automation, control enhancements, reporting improvements, and operational efficiencies across Trading Operations workflows
Seniority
Senior, hands-on IC
