Trading Operations Leader - Fintech, Reg-Ready & Scalable

Mercury Com; New York (NY); Remote; USD 122,000 - 169,000; Full time

Job summary

Mercury is hiring a Trading Operations Lead to own and scale the trading operations function for its SEC-registered investment advisor and FINRA-member broker-dealer. This hands-on leadership role requires deep brokerage experience, clear communication across technical teams, and a drive to build robust, compliant processes.

You will supervise order, trade activity, surveillance, and reporting; coordinate with engineers, product, and partners to ensure controls operate as designed and are

Qualifications

• Active FINRA Series 7, 63, and 24 licenses.
• 8+ years in trading, brokerage, or investment operations.
• Hands-on experience with fixed income, mutual funds, and ETFs.
• Experience building or improving a trade surveillance or control framework.
• Strong knowledge of FINRA and SEC rules and their application.

Responsibilities

• Own trading operations and supervisory framework for order and trade activity across funds and fixed income.
• Oversee trade surveillance, controls, and pre-/post-trade workflows.
• Ensure regulatory reporting (TRACE, CAT, CAIS) and supervision of customer statements.

Skills

FINRA licenses

Trading operations

Regulatory knowledge

Communication

Problem solving

SQL

Tools

SQL

Internal tooling

Job description

Mercury is hiring a Trading Operations Lead to own and scale the trading operations function for its SEC-registered investment advisor and FINRA-member broker-dealer. This hands-on leadership role requires deep brokerage experience, clear communication across technical teams, and a drive to build robust, compliant processes.

You will supervise order, trade activity, surveillance, and reporting; coordinate with engineers, product, and partners to ensure controls operate as designed and are