Brokerage Trade Operations Leader

Vanguard Group; Scottsdale (AZ); Hybrid; USD 180,000 - 240,000; Full time

Benefits offered by this job

Hybrid work model

Job summary

Vanguard is seeking the Head of Brokerage Trade Operations to lead Margin, Securities Lending, and Asset Servicing for its retail broker-dealer. This executive role oversees risk management, regulatory compliance, and operational effectiveness across a broad set of high-risk functions with external regulators and counter parties.

The position requires deep experience in securities trading, strong leadership, and the ability to drive performance improvements while collaborating with

Qualifications

• Minimum fifteen years of related brokerage experience with progressive management responsibilities.
• Thorough understanding of securities trading, processing practices, organizations, and technology.
• FINRA Series 4, 7, 63, 24. May be asked to take Series 27.

Responsibilities

• Leads senior brokerage leaders and a staff of 65, providing strategic direction and performance management.
• Sets departmental goals and oversees offer pricing, product/service changes, and client experience investments.
• Ensures compliance with SEC, OCC, FINRA regulations and manages regulatory risk with Written Supervisory Procedures and controls.
• Manages external relationships with vendors, regulators, and market participants.
• Drives continuous process improvements using Lean, Agile, and Six Sigma methodologies.

Skills

Executive leadership

Strategic direction

Communication skills

Regulatory compliance knowledge

Securities trading knowledge

Education

Bachelor's degree or equivalent

MBA preferred

Tools

Lean management

Agile

Six Sigma

Job description

Vanguard is seeking the Head of Brokerage Trade Operations to lead Margin, Securities Lending, and Asset Servicing for its retail broker-dealer. This executive role oversees risk management, regulatory compliance, and operational effectiveness across a broad set of high-risk functions with external regulators and counter parties.

The position requires deep experience in securities trading, strong leadership, and the ability to drive performance improvements while collaborating with