Trading Ops Leader: Best Execution & Regulatory Reporting

Jobtailor; Town of Bethlehem (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

Jobtailor is seeking an experienced trading operations leader to govern regulatory reporting, best execution, and controls across Broker-Dealer and Registered Investment Advisor environments.

The role requires 5-10 years in financial services, strong wealth management trading background, and FINRA licenses. You will lead a team, own vendor relationships, and ensure compliance with trading regulations and procedures.

Qualifications

• 5-10 years’ experience in financial services, preferably at a Broker Dealer (BD) or Registered Investment Advisor (RIA) in a trading operations role
• Outstanding organizational and time management skills
• Experience managing small teams and processes
• Minimum of 2-3 years of high touch customer service or operations experience, specifically with strong wealth management trading knowledge and background
• Ability to interact with all levels of organization
• Ability to work without direct supervision
• FINRA Series 7, 63/65 or 66, 4, 24, 51, 53
• Familiarity with custodial systems such as Pershing, Fidelity, and Charles Schwab
• Familiarity with alternative investments tech platforms such as iCapital
• Knowledge of TAMP technology trading processes (Orion and Envestnet)
• Trade execution or reporting background
• Familiarity with project management principles
• Must be legally authorized to work in the United States without employer sponsorship/support now or in the future

Responsibilities

• Lead trading operations governance and regulatory reporting across BD and RIA businesses
• Oversee Best Execution responsibilities and trading desk tasks
• Manage Pershing Enterprise Rules Engine implementation and integrations
• Oversee trade-related regulatory reporting across asset classes
• Manage trade correction intake, review, approval, and monitoring
• Oversee margin processes for BD and RIA businesses
• Oversee trading in proprietary portfolios and with partner platforms
• Monitor trade releases, reviews, and group email intake
• Develop and monitor operational metrics and achieve goals
• Coach and develop a high-performing trading ops team

Skills

Trading Operations Governance

Regulatory Reporting

Best Execution Management

Vendor Relationship Management

Team Leadership

Project Management

Communication Skills

Organizational Skills

Customer Service in Financial Services

Analytical Thinking

Tools

Pershing

Fidelity

Charles Schwab

Orion

Envestnet

iCapital

Job description

Jobtailor is seeking an experienced trading operations leader to govern regulatory reporting, best execution, and controls across Broker-Dealer and Registered Investment Advisor environments.

The role requires 5-10 years in financial services, strong wealth management trading background, and FINRA licenses. You will lead a team, own vendor relationships, and ensure compliance with trading regulations and procedures.