Trading Operations & Controls Leader

Guardian Life; New York (NY); On-site; USD 103,000 - 170,000; Full time

Job summary

Guardian Life seeks a Manager, Trading Operations & Controls to lead trading governance, regulatory reporting, and the trading control framework across BD and RIA businesses. You will oversee best execution, trade supervision, rule management, margin oversight, and client education messaging for Pershing and related systems.

The role also focuses on operational reporting, cross‑functional collaboration with Compliance, Technology, custodial partners, and business stakeholders, driving risk

Qualifications

• 5–10 years’ experience in financial services, preferably at a BD or RIA in a trading operations role.
• Strong wealth management trading knowledge and background.
• Experience managing small teams and processes.
• Ability to interact with all levels of the organization.

Responsibilities

• Oversee Best Execution for RIA and BD and coordinate quarterly scorecards.
• Manage Pershing’s Enterprise Rules Engine (ERE) implementation and client education messaging.
• Ensure compliance of trade-related regulatory reporting across asset classes.
• Handle trade corrections, margin, and trade review processes.
• Lead operational reporting, metrics, and governance for the trading functions.
• Inspire and coach a high-performing team and monitor schedule adherence.

Skills

Trading operations

Regulatory reporting

Team leadership

Client service

Regulatory compliance

Project management

Education

FINRA licenses

Tools

Pershing

Orion

ERE

Fidelity

Schwab

Envestnet

Job description

Guardian Life seeks a Manager, Trading Operations & Controls to lead trading governance, regulatory reporting, and the trading control framework across BD and RIA businesses. You will oversee best execution, trade supervision, rule management, margin oversight, and client education messaging for Pershing and related systems.

The role also focuses on operational reporting, cross‑functional collaboration with Compliance, Technology, custodial partners, and business stakeholders, driving risk