Senior Trading Operations Leader

Mercury; New York (NY); On-site; USD 135,000 - 169,000; Full time

Job summary

Mercury is seeking a Trading Operations Lead to own and scale the trading operations function for its SEC-registered investment advisor and FINRA-member broker-dealer. This hands‑on leadership role demands deep brokerage and trading operations expertise to set standards and handle complex operational work when needed.

You'll supervise order and trade activity across money market funds, mutual funds, ETFs, and fixed income, ensuring regulatory compliance and partnering with engineers, product

Qualifications

• Hold active FINRA Series 7, 63, and 24 licenses.
• 8+ years in trading, brokerage, or investment operations.
• Hands-on experience with fixed income, mutual funds, and ETFs.
• Strong working knowledge of FINRA and SEC rules, including recordkeeping and reporting.

Responsibilities

• Own trading operations and supervisory framework across money market funds, mutual funds, ETFs, and fixed income.
• Oversee trade surveillance, pre- and post-trade controls, and best execution monitoring.
• Lead supervisory reporting obligations including CAT, CAIS, and TRACE with regulators and vendors.
• Coordinate with engineering, product, compliance, and brokers to improve workflows and controls.
• Prepare for regulatory exams, audits, and internal testing with documented evidence.

Skills

FINRA Series 7

FINRA Series 63

FINRA Series 24

SQL

Job description

Mercury is seeking a Trading Operations Lead to own and scale the trading operations function for its SEC-registered investment advisor and FINRA-member broker-dealer. This hands‑on leadership role demands deep brokerage and trading operations expertise to set standards and handle complex operational work when needed.

You'll supervise order and trade activity across money market funds, mutual funds, ETFs, and fixed income, ensuring regulatory compliance and partnering with engineers, product