Registered Options Principal
Job Summary
As a Registered Options Principal, the full-time remote Trade Desk Associate will perform supervisory activities related to trading operations, including the review and approval of trades, account applications, and trade corrections while collaborating with various internal teams to enhance processes and manage risks.
Key responsibilities
- Conduct principal review and supervisory aspects of trading activity, including trade corrections and reconciliations
- Determine appropriate actions to correct trade errors and manage associated expenses
- Generate and respond to surveillance reporting and examinations, acting as a ROP for new options accounts
Required qualifications
- Bachelor's Degree required, preferably in a relevant discipline or five years' experience in financial services
- FINRA Series 7 and 24 required; Series 4, 52, and 53 preferred or to be obtained within an established timeframe
- FINRA fingerprinting required
- Hands-on experience with equity trading and brokerage operations
- Understanding of options trading and fixed income products
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