Trade And Operation Manager

As a Trade and Operation Manager, you will be reporting to the CEO, this role is responsible for the implementation and management of the Trade and help desk. This individual will collaborate with business unit and functional teams for the end-to-end operations of the Trade and help desk.

• Partner with senior management to work on day-to-day operations of the firm.
• Provide regulatory oversight, risk management and policy implementation for broker-dealer financial and Operational regulatory responsibilities.
• Provide direction and guidance to firm leadership on financial and Operational matters affecting compliance with FINRA and SEC regulations
• Identify, assess and communicate new or changing regulatory requirements and proactively develop policies and procedures to address changes in regulation
• Reviewing all other securities products that appear on the respective blotters including but not limited to Stock, ETF's, and review of brokerage new account applications, review of margin and option account applications, review of brokerage account maintenance documents
• Review and approve cash deposit and withdrawal activity, position transfers, and account administrative functions.
• Approve new account in accordance with rules and regulations
• Investigate customer inquiries regarding trade-related issues (e.g., executions, position liquidations, order trigger conditions, trade cancellation requests, product availability & attributes, order types and routing logic etc.)
• Order status, settlement, exercise & assignment, expiration processing, and corporate actions
• Respond to client inquiries via telephone, email

Qualifications

Core competencies:

• Must have strong US market knowledge.
• Candidates with prior experience in the areas of middle/back-office operations, compliance, electronic trading, and fund administration will be given priority

Requirements:

• 5 years of experience with a broker-dealer
• FINRA Series 7 and 63 required, FINRA Series 24 and 27 preferred; other certifications are helpful.
• Bachelor’s degree in a related field or equivalent combination of education and experience
• Experience working with compliance on FINRA (regulatory) inquiries.
• Intermediate to advanced experience with MS Office applications
• Intermediate to advanced understanding of Broker-Dealer back-office functions and associated regulatory requirements
• Excellent communication skills; verbal, written and interpersonal.

Job Type: Full-time

Salary: $100,000.00 - $150,000.00 per year

Weekly day range:

• Monday to Friday

Work Location: In person