Trade Operations Leader: Order Execution & Margin

Guardian Life Insurance; United States; On-site; USD 103,000 - 170,000; Full time

Job summary

Guardian Life Insurance seeks a Manager of Trade Operations to lead securities order acceptance and execution for BD and RIA businesses. You will supervise escalation of orders, allocations, and reporting, ensuring best execution and regulatory compliance across asset classes.

You will also drive margin oversight, governance, and process improvements while coaching a high-performing team. Strong wealth-management trading knowledge and FINRA licenses are required.

Qualifications

• 5+ years in financial services trading operations or BD/RIA
• Experience managing small teams and processes
• 2-3 years of high-touch customer service or operations with wealth management trading knowledge
• Ability to interact with all levels of the organization
• Self-starter with minimal supervision

Responsibilities

• Lead team responsible for accepting securities orders from advisors and clients
• Oversee entry/acceptance rules engine implementation
• Manage Best Execution responsibilities and vendor relationships
• Ensure compliance with trade-related regulatory reporting across assets
• Oversee margin process for BD and RIA businesses
• Oversee order blocking, execution and allocation with managed account platforms
• Set goals, monitor metrics, and report to management
• Coach and develop team members to drive engagement
• Monitor schedules and behaviors to meet service levels
• Managing Procedures Reviews and Attestations for all teams

Skills

Strong organizational skills

Team leadership

Customer service operations

Cross-functional collaboration

Self-starter / autonomous work

Communication at all levels

Education

FINRA Series 7 & 24

Tools

Pershing

Fidelity

Charles Schwab

Job description

Guardian Life Insurance seeks a Manager of Trade Operations to lead securities order acceptance and execution for BD and RIA businesses. You will supervise escalation of orders, allocations, and reporting, ensuring best execution and regulatory compliance across asset classes.

You will also drive margin oversight, governance, and process improvements while coaching a high-performing team. Strong wealth-management trading knowledge and FINRA licenses are required.