FINRA Licensed Trading Operations Lead

Job Summary

Seeking a FINRA Licensed Trading Operations Lead to oversee and scale trading operations for a SEC-registered investment advisor and FINRA-member broker-dealer, this full-time role can be performed remotely within the United States or Canada and involves managing trading operations, ensuring compliance with regulatory requirements, and enhancing operational workflows.

Key responsibilities

• Own the trading operations and supervisory framework, providing oversight of order and trade activity across various investment products
• Lead trade surveillance and operational control frameworks, ensuring compliance with pre- and post-trade controls and best execution monitoring
• Manage day-to-day operational relationships with brokers, custodians, and fund companies, addressing escalations and service-level performance

Required qualifications

• Hold active FINRA Series 7, Series 63, and Series 24 licenses (Series 99 or Series 57 is a plus)
• 8+ years of experience in trading, brokerage, or investment operations with direct ownership of trade lifecycle and settlement functions
• Hands-on operational experience across fixed income, mutual funds, and ETFs
• Experience in building or improving trade surveillance or operational control frameworks
• Strong knowledge of operational requirements under FINRA and SEC rules, including recordkeeping and trade reporting