FINRA Licensed Trading Director

Job Summary

A company is looking for a Director of Trading & Risk to oversee trading operations, market risk management, and regulatory compliance.

Key Responsibilities

• Oversee secondary trading activity, ensuring accurate execution and settlement of digital securities transactions
• Develop and maintain a comprehensive risk framework tailored to digital securities trading
• Partner with Compliance and Legal teams to ensure adherence to SEC and FINRA requirements

Required Qualifications

• 8-12 years of experience in trading operations, risk management, or market structure
• Requisite FINRA licensing (S7, S24, S55/57 at a minimum)
• Deep understanding of securities trading workflows, including order management and settlement
• Hands-on experience building or managing risk frameworks for trading environments
• Strong grasp of regulatory regimes under SEC, FINRA, and NFA