Trade Support Manager

Jobtailor; North Carolina; On-site; USD 90,000 - 150,000; Full time

Job summary

Jobtailor in North Carolina seeks an experienced brokerage supervisor to hire, evaluate, supervise, guide, and train crew, setting performance standards and supervising regulatory compliance across operations.

The role requires Series 7, Series 63, Series 24, and Series 4 licenses (some may be obtained post-hire) and a strong track record in risk mitigation, client issue management, and process improvement within a regulated brokerage environment.

Qualifications

• Minimum five years related work experience.
• Minimum of two years of brokerage experience.
• Undergraduate degree or equivalent combination of training and experience.
• Series 7 and Series 63 required prior to being hired.
• Series 24 and Series 4 required, but may be obtained post-hire.
• Regulatory license and/or registration requirements determined by Compliance based on role-specific duties.
• No visa sponsorship offered for this position.

Responsibilities

• Hire, evaluate, supervise, guide, and train crew
• Set performance standards, review performance, and make compensation decisions in accordance with Human Resources policies and procedures
• Review team operations for efficiency and regulatory compliance
• Develop processes and procedures to improve brokerage operational effectiveness
• Conduct regulatory supervision of registered and associated crew and supported functions
• Own written supervisory procedures to ensure compliance
• Manage complex elevated client issues and oversee resolution of errors
• Mitigate risk by prioritizing error resolutions
• Develop and use expert knowledge of trading operation platforms to handle trade corrections
• Guide the team using compliance, regulatory, and departmental policies and procedures
• Build partnerships with business partners to provide feedback, solve problems, and introduce controls
• Manage project initiative delivery through resource allocation, timelines, schedules, and statistical data
• Participate in special projects and perform other assigned duties

Skills

Brokerage Experience

Regulatory Compliance

Team Management

Performance Evaluation

Process Improvement

Education

Undergraduate degree or equivalent

Tools

Trading Platforms

Job description

• Hire, evaluate, supervise, guide, and train crew
• Set performance standards, review performance, and make compensation decisions in accordance with Human Resources policies and procedures
• Review team operations for efficiency and regulatory compliance
• Develop processes and procedures to improve brokerage operational effectiveness
• Conduct regulatory supervision of registered and associated crew and supported functions
• Own written supervisory procedures to ensure compliance
• Manage complex elevated client issues and oversee resolution of errors
• Mitigate risk by prioritizing error resolutions
• Develop and use expert knowledge of trading operation platforms to handle trade corrections
• Guide the team using compliance, regulatory, and departmental policies and procedures
• Build partnerships with business partners to provide feedback, solve problems, and introduce controls
• Manage project initiative delivery through resource allocation, timelines, schedules, and statistical data
• Participate in special projects and perform other assigned duties

Requirements

• Minimum of five years related work experience
• Minimum of two years of brokerage experience
• Undergraduate degree or equivalent combination of training and experience
• Series 7 and Series 63 required prior to being hired
• Series 24 and Series 4 required, but may be obtained post-hire
• Regulatory license and/or registration requirements determined by Compliance based on role-specific duties
• No visa sponsorship offered for this position

Demonstrates expertise in regulatory compliance and brokerage operations, with a strong focus on team management, performance evaluation, and process improvement. Proficient in handling complex client issues and ensuring adherence to industry regulations.

Highest-signal resume keywords

• Brokerage Experience
• Regulatory Compliance
• Team Management
• Performance Evaluation
• Process Improvement

ATS Optimization Keywords

Hard Skills

• Trading Operation Platforms
• Error Resolution
• Performance Standards
• Operational Effectiveness
• Project Management

Soft Skills

• Problem Solving
• Team Guidance
• Partnership Building

Certifications & Qualifications

• Series 7
• Series 63
• Series 24
• Series 4

Industry Keywords

• Regulatory Supervision
• Human Resources Policies
• Compliance Procedures
• Risk Mitigation
• Client Issue Management