Trading Operations Manager — Best Execution & Margin

Guardian Life; Bethlehem (Northampton County); Hybrid; USD 103,000 - 170,000; Full time

Job summary

Guardian Life in Bethlehem, NY, is seeking a Manager of Trade Operations to lead order acceptance, execution and reporting across Broker-Dealer and Registered Investment Advisor businesses. You will oversee core trading functions, including order entry rules, allocations, best execution and regulatory reporting.

You will coach a high performing team, monitor SLAs, manage risk, and collaborate with Compliance, Technology and custodial partners to deliver exceptional advisor and client service.

Qualifications

• 5+ years in financial services trading operations.
• Strong organizational and time management skills.
• Experience managing small teams and processes.
• 2–3 years of high‑touch customer service or operations in wealth management trading.
• Ability to interact across all levels of the organization.
• Self‑starter capable of working without direct supervision.
• FINRA Series 7 and 24.
• Familiarity with custodial systems and trading platforms.

Responsibilities

• Lead a team accepting securities orders from advisors and clients, ensuring SLA adherence.
• Manage order entry and acceptance rules engine implementation.
• Oversee Best Execution responsibilities and maintain vendor relationships.
• Ensure compliance of trade‑related regulatory reporting across security types.
• Oversee margin processes for RIA and BD businesses.
• Manage order blocking/execution/allocation on managed accounts platforms.
• Set and monitor goals, produce key metrics and update governance documents.
• Inspire and develop a high performing team through coaching and training.
• Monitor schedule adherence to serve customers effectively.
• Oversee Procedures Reviews and Attestations for operational teams.

Skills

Trading operations leadership

Regulatory compliance

Stakeholder communication

Team coaching

FINRA Series 7

FINRA Series 24

Tools

Pershing

Fidelity

Charles Schwab

Orion

Envestnet

AdvisorEngine

Job description

Guardian Life in Bethlehem, NY, is seeking a Manager of Trade Operations to lead order acceptance, execution and reporting across Broker-Dealer and Registered Investment Advisor businesses. You will oversee core trading functions, including order entry rules, allocations, best execution and regulatory reporting.

You will coach a high performing team, monitor SLAs, manage risk, and collaborate with Compliance, Technology and custodial partners to deliver exceptional advisor and client service.