Specialist, Execution Services
Core
Execute written supervisory procedures, monitor equity trading systems and algorithmic controls, and resolve trade discrepancies to ensure compliance with SEC and FINRA regulations for global trading operations.
Role type
Specialist, Execution Services (Broker-Dealer Operations)
Builds
Supports 24/5 global trading operations for US equities, mutual funds, ETFs, fixed income, and options via an API-based platform.
Domain
Financial Technology / Broker-Dealer Operations / Electronic Trading
Required skills
FINRA Series 7, 57, and 63 licenses; Broker-dealer operations experience; Electronic execution workflows; FIX protocol; Algo trading controls; SQL; Python; Unix/Linux command line; OMS/EMS platforms (Eze, Fidessa)
Preferred skills
Project management; Cross-functional coordination; Client-facing capabilities
Technologies
FIX, SQL, Python, Unix/Linux, JIRA, Eze, Fidessa
Responsibilities
Execute Written Supervisory Procedures (WSPs) for SEC/FINRA compliance; Monitor equity trading systems and alert frameworks for disorderly trading; Escalate issues across trading desks and risk functions; Support trade operations across asset classes globally; Conduct real-time monitoring of proprietary order management systems; Provide client-facing support for FIX connectivity and session monitoring; Coordinate technical onboarding for institutional clients; Resolve trade discrepancies and manage post-trade allocations.
Seniority
Mid-level Specialist (3-5 years experience)