Trading Operations Associate Director – NYC/Hybrid

Dawn Taylor Associates, Inc.; New York (NY); Hybrid; USD 150,000 - 210,000; Full time

Job summary

Dawn Taylor Associates, Inc. in New York is seeking a Trading Operations Associate Director to oversee global trade processing and settlement. The role mentors staff, resolves issues, and drives cross-functional initiatives while supporting clients in a hybrid work environment.

Responsibilities include managing onboarding, trade confirmations, reconciliations, and audits, with a focus on timely execution and exceptional client service. Series 7/SIE and Series 99 are required.

Qualifications

• Bachelor's or Master's Degree in Finance or associated major.
• 7–10+ years of experience in Operations, Middle Office, Back Office or Trade Support.
• Series 7 or SIE AND Series 99 required.
• Proficient with FINRA, TRAQS, DTCC Alert and CTM preferred.
• Proven track-record in global markets settlement.

Responsibilities

• Oversee timely and accurate processing of trades internationally and domestically.
• Manage client onboarding of new accounts, sub-accounts and managed funds.
• Lead operational projects, including cross-functional initiatives and system upgrades.
• Process trade confirmations for fixed income, equities and treasuries.
• Perform daily position reconciliations ensuring trade capture and processing.
• Serve as primary contact for internal and external audits providing remediation updates.
• Manage full trade life cycle from booking through settlement.
• Complete TRACE reporting, create JIRA tickets and support UAT.
• Identify initiatives to streamline processes and improve controls.
• Resolve settlement breaks and discrepancies working with clients and counterparties.
• Maintain adherence to operational procedures ensuring compliance with regulatory standards and internal governance.
• Train staff.

Skills

Series 7 Certification

Series 99 Certification

Global markets settlement

Trade processing

Education

Bachelor's or Master's Degree in Finance or related major

Tools

TRAQS

DTCC Alert

CTM

Job description

Our client, a NYC international Financial Services firm, seeks a Trading Operations Associate Director. This role provides comprehensive support to clients, resolves issues, and mentors staff. Outstanding opportunity offers a hybrid schedule and reports to the Director, Head of Operations. Series 7 or SIE AND Series 99 required

Responsibilities

• Oversee timely and accurate processing of trades internationally and domestically
• Manage client onboarding of new accounts, sub-accounts and managed funds
• Lead operational projects, including cross-functional initiatives and system upgrades
• Process trade confirmations for fixed income, equities and treasuries
• Perform daily position reconciliations ensuring trade capture and processing
• Serve as primary contact for internal and external audits providing remediation updates
• Manage full trade life cycle from booking through settlement
• Complete TRACE reporting, create JIRA tickets and support UAT
• Identify initiatives to streamline processes and improve controls
• Resolve settlement breaks and discrepancies working with clients and counterparties
• Maintain adherence to operational procedures ensuring compliance with regulatory standards and internal governance
• Train staff

Requirements

• Bachelor's or Master's Degree in Finance or associated major
• 7-10+ years of experience in Operations, Middle Office, Back Office or Trade Support
• Series 7 or SIE AND Series 99 required
• Proficiency with FINRA, TRAQS, DTCC Alert and CTM preferred
• Proven track-record in global markets settlement
• Outstanding project management and trade support knowledge
• Ability to deliver time-sensitive execution and outstanding client service
• Excellent verbal and written communication skills