Margin Operations, Assistant Vice President (Wealth Custody and Clearing)
Core
Build, implement, and operate margin operations for a wealth custody and clearing platform, managing margin calls, deficiencies, and risk escalations.
Role type
Senior IC margin operations manager (broker-dealer/custody)
Builds
Scalable margin operating procedures, controls, reporting, and escalation protocols for a broker-dealer platform
Domain
Financial services (Wealth Custody & Clearing)
Required skills
Regulation T, FINRA Rule 4210, margin calls, maintenance deficiencies, account restrictions, liquidations, Regulation SHO, short-selling, Portfolio Margin, risk-based margin methodologies
Preferred skills
Portfolio Margin frameworks, short-selling operations
Technologies
None stated
Responsibilities
Design and implement margin operating models; execute daily margin monitoring and control; resolve margin calls and exceptions; coordinate with Risk and clearing firms; oversee concentrated positions and negative equity; support broader brokerage operations including trading and corporate actions
Seniority
Senior, hands-on IC
