Trade Ops Group Manager

Citizens Financial Group; Charlotte (NC); On-site; USD 170,000 - 190,000; Full time

Benefits offered by this job

Medical, dental and vision coverage

Retirement benefits

Parental leave

Flexible work arrangements

Education reimbursement

Wellness programs

Job summary

Citizens Financial Group seeks a Trade Ops Group Manager to lead end-to-end trade execution, post-trade processing, and operations across asset classes and custodians within Wealth. The role ensures best execution, regulatory compliance, risk mitigation, and a high-quality advisor/client experience.

The ideal candidate combines deep market structure knowledge with proven leadership in regulated financial services, directing strategy, vendor relations, and continuous improvement initiatives to

Qualifications

• FINRA Series 7, 63 or 66 required and FINRA Series 24, 53, and 4 required or ability to obtain.
• 10–15+ years of experience in trading, trade operations, or investment operations in wealth management, asset management, or broker-dealer environments.
• Deep understanding of market structure, trade lifecycle, and best execution standards.
• Demonstrated leadership of large, complex teams and cross-functional initiatives.
• Strong knowledge of regulatory requirements (SEC, FINRA, MSRB, etc.).
• Analytical, problem-solving, and decision-making skills.

Responsibilities

• Oversee daily trade execution across equities, fixed income, mutual funds, ETFs, options, alternatives, and other products.
• Ensure best execution aligned with fiduciary obligations and regulatory requirements.
• Lead post-trade operations: confirmations, settlements, reconciliations, and risk controls.
• Manage vendor and custodian relationships and drive continuous improvement.
• Partner with Compliance, Legal, Risk, and Technology to ensure audits and system enhancements.

Skills

Trading operations

Regulatory knowledge

Leadership

Analytical skills

Communication

Education

Bachelor's degree in Finance/Business

Job description

The Trade Ops Group Manager is responsible for the end-to-end leadership of trade execution, post trade processing, and operational support across all asset classes and across all custodians within the Wealth platform. This role ensures best execution, operational efficiency, regulatory compliance, risk mitigation, and a high-quality advisor and client experience.

The role serves as the senior owner of trading and trade operations strategy, execution oversight, vendor and custodian relationships, and continuous improvement initiatives. The ideal candidate brings deep market structure knowledge, operational rigor, and strong leadership experience in a regulated financial services environment.

Key Responsibilities

• Oversee daily trade execution activities across equities, fixed income, mutual funds, ETFs, options, alternatives, and other supported products.
• Ensure best execution practices aligned with fiduciary obligations, regulatory requirements, and firm policies.
• Establish and maintain execution strategies, trading protocols, and escalation procedures for market volatility or disruptions.
• Partner with Compliance and Legal to ensure adherence to SEC, FINRA, and other regulatory standards.

Trade Operations & Post Trade Processing

• Lead all post trade operational functions, including confirmations, allocations, settlements, reconciliations, fails management, and corporate actions.
• Ensure accuracy, timeliness, and control integrity across the full trade lifecycle.
• Own operational readiness for new products, platforms, custodians, or regulatory changes.
• Drive root cause analysis and resolution of trade breaks, settlement issues, and operational incidents.
• Design and maintain strong operational controls to mitigate execution, settlement, and counterparty risk.
• Partner with Risk and Compliance on audits, regulatory exams, and issue remediation.
• Monitor key risk indicators (KRIs), trade error trends, and exception reporting.
• Ensure effective documentation of procedures, controls, and business continuity plans.
• Key stakeholder in relationships with trading platforms, custodians, broker dealers, and third-party service providers.
• Partner with Technology teams to enhance trading tools, straight through processing, and automation.
• Lead system upgrades, integrations, and platform migrations impacting trade execution or operations.
• Evaluate and implement technology solutions to improve scalability, transparency, and efficiency.

Strategic Leadership & Continuous Improvement

• Develop and execute the strategic roadmap for trade execution and operations, aligned with Wealth Operations goals.
• Identify opportunities to streamline workflows, reduce manual processes, and improve turnaround times.
• Lead largescale initiatives such as outsourcing decisions, centralization efforts, or operating model changes.
• Establish and track performance metrics, service level agreements (SLAs), and operational KPIs.

People & Organizational Leadership

• Lead, develop, and mentor high performing trading and trade operations teams.
• Establish clear roles, accountability, and career development paths.
• Foster a culture of risk awareness, operational excellence, and continuous improvement.
• Ensure appropriate staffing, coverage models, and succession planning.

Stakeholder & Advisor Partnership

• Serve as a key point of contact for advisors, product team, and senior leadership.
• Translate complex trading and operational topics into clear, actionable insights for nontechnical stakeholders.
• Support advisor education on trading processes, execution quality, and operational capabilities.

Qualifications

Required:

• FINRA Series 7, 63 or 66, required and FINRA Series 24, 53, and 4 required or ability to obtain.
• 10–15+ years of experience in trading, trade operations, or investment operations within wealth management, asset management, or broker dealer environments.
• Deep understanding of market structure, trade lifecycle, and best execution standards.
• Demonstrated leadership of large, complex teams and cross functional initiatives.
• Strong knowledge of regulatory requirements (SEC, FINRA, MSRB, etc.).
• Exceptional analytical, problem solving, and decision-making skills.

Preferred:

• Bachelor’s degree in Finance, Business, Economics, or related field.
• Experience across multiple asset classes and custodial platforms.
• Background in operational risk management, process redesign, or technology transformation.
• Experience supporting advisor led or discretionary portfolio management models.

Core Competencies

• Trade Execution & Market Expertise
• Operational Excellence
• Strategic Thinking
• Regulatory & Compliance Awareness
• Leadership & Talent Development
• Stakeholder Communication
• Work Schedule: M-F

Pay Transparency

The salary range for this position is $170,000-$190,000 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is based on various factors including but not limited to the budget, work location, and relevant skills and experience.

We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more. Note, Citizens’ paid time off policy exceeds the mandatory, paid sick or paid time-away policy of every local and state jurisdiction in the United States. For an overview of our benefits, the benefits overview is available on our careers site.

About Us

Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression, genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague’s or a dependent’s reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws. At Citizens, we are committed to fostering an inclusive culture that enables all colleagues to bring their best selves to work every day and everyone is expected to be treated with respect and professionalism. Employment decisions are based solely on merit, qualifications, performance and capability.

Equal Employment and Opportunity Employer

Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.

Job Info

• Job Identification 48104
• Job Category Servicing & Operations
• Posting Date 07/14/2026, 08:57 PM
• Degree Level Bachelor's Degree
• Job Schedule Full time
• Job Shift 1st
• Locations 4250 Congress St., Charlotte, NC, 28209, US One Citizens Bank Way, Johnston, RI, 02919, US
• Working Hours 40
• Career Site Category Wealth and Asset Management