Trading Operations Leader — Scale Regulated Brokerage

Mercury; Portland (OR); On-site; USD 122,000 - 152,000; Full time

Job summary

Mercury is seeking a hands-on Trading Operations Lead to own and scale the trading operations framework for its SEC-registered investment advisor and FINRA-member broker-dealer. You will supervise trading activity, surveillance, and reporting, partnering with engineering, product, and brokers to meet regulatory requirements.

This role demands deep brokerage experience and a drive to evolve the function. The ideal candidate has 8+ years in trading operations, holds active FINRA licenses, and can

Qualifications

• Hold active FINRA Series 7, Series 63, and Series 24 licenses.
• 8+ years in trading, brokerage, or investment operations.
• Hands-on experience across fixed income, mutual funds, and ETFs.
• Built or materially improved a trade surveillance or operational control framework.
• Strong working knowledge of FINRA and SEC rules.

Responsibilities

• Own the trading operations and supervisory framework with licensed oversight over order and trade activity across funds and fixed income.
• Oversee trade surveillance, pre- and post-trade controls, and best execution monitoring; coordinate with compliance and vendors.
• Ensure regulatory reporting obligations (CAT, CAIS, TRACE) and provide supervisory review of statements and confirmations.
• Serve as escalation point for trade errors, breaks, settlements; drive process improvements.
• Maintain trading operations books and records; ensure retrievability and proper retention.

Skills

Trading operations

FINRA licenses

Fixed income

Mutual funds

ETFs

Operational controls

Communication

Tools

SQL

Job description

Mercury is seeking a hands-on Trading Operations Lead to own and scale the trading operations framework for its SEC-registered investment advisor and FINRA-member broker-dealer. You will supervise trading activity, surveillance, and reporting, partnering with engineering, product, and brokers to meet regulatory requirements.

This role demands deep brokerage experience and a drive to evolve the function. The ideal candidate has 8+ years in trading operations, holds active FINRA licenses, and can