Senior Trading Operations Lead - Regulated Brokerage

Precision Labs; San Francisco, Northern (CA, KY); Hybrid; USD 135,000 - 169,000; Full time

Job summary

Mercury seeks a Trading Operations Lead to own and scale the operations function for its SEC-registered investment advisory and broker-dealer. This hands-on leadership role requires deep brokerage experience, regulatory rigor, and the ability to build scalable processes in a fast-paced, regulated environment.

The role partners with Engineering, Product, Compliance, and external brokers to ensure robust controls, accurate reporting, and continuous improvement.

Qualifications

• 8+ years in trading, brokerage, or investment operations.
• Hold active FINRA Series 7, 63, and 24 licenses.
• Hands-on operational experience across fixed income, mutual funds, and ETFs.
• Built or materially improved a trade surveillance or operational control framework.
• Strong working knowledge of FINRA and SEC rules.

Responsibilities

• Own trading operations and supervisory framework across money market funds, mutual funds, ETFs, and fixed income.
• Oversee the trade surveillance and operational control framework, including escalation and remediation.
• Ensure compliance with SEC Rules 606/607 and FINRA Rule 6151; supervise customer statements and trade confirmations.
• Serve as the operational escalation point for trade errors, breaks, and settlement issues.
• Oversee trading‑related books and records with partners to ensure retrievability.
• Maintain trading operations procedures and Written Supervisory Procedures.

Skills

Trading operations

Regulatory knowledge

Communication

Automation judgment

Tools

SQL

Job description

Mercury seeks a Trading Operations Lead to own and scale the operations function for its SEC-registered investment advisory and broker-dealer. This hands-on leadership role requires deep brokerage experience, regulatory rigor, and the ability to build scalable processes in a fast-paced, regulated environment.

The role partners with Engineering, Product, Compliance, and external brokers to ensure robust controls, accurate reporting, and continuous improvement.