Trading Operations Lead
Core
Own and scale the trading operations function for an SEC-registered investment advisor and FINRA-member broker-dealer, overseeing order and trade activity, supervisory frameworks, and operational controls.
Role type
Senior IC trading operations lead (broker-dealer/RIA)
Builds
Trading operations workflows, supervisory procedures, and control frameworks for money market funds, mutual funds, ETFs, and fixed income.
Domain
Fintech, Securities Trading, Brokerage
Required skills
FINRA Series 7, 63, 24 licenses, trade lifecycle ownership, settlement operations, trade surveillance, regulatory compliance (SEC/FINRA), exception management, stakeholder management
Preferred skills
Fintech experience, building new product/partner relationships, SQL proficiency
Technologies
FINRA, SEC, CAT, CAIS, TRACE
Responsibilities
Own supervisory framework and trade activity oversight; manage trade surveillance and operational controls; oversee regulatory reporting (CAT, CAIS, TRACE); serve as escalation point for trade errors; maintain books and records; lead readiness for regulatory exams; manage broker/custodian relationships; partner on system workflows and new product launches.
Seniority
Senior, hands-on IC