Trading Operations Lead

Role overview This position leads the trading operations function for an SEC-registered investment advisor and FINRA-member broker-dealer serving a fintech customer base. It is a hands-on leadership role that combines licensed principal oversight with day-to-day operational execution across money market funds, mutual funds, ETFs, and fixed income. The role is well suited to someone who wants to shape how the function operates rather than inherit an established setup.

Responsibilities - Provide licensed principal oversight of order and trade activity, reconciliations, exceptions, and escalations, partnering with engineering, product, carrying brokers, and investment partners to resolve breaks and keep activity within supervisory procedures - Own the trade surveillance and operational control framework, including best execution monitoring, pre- and post-trade controls, trade break remediation, and coordination with Financial Crimes on suspicious activity escalations - Supervise trading and order-flow reporting obligations, including CAT, CAIS, and TRACE, and ensure timely compliance with SEC Rules 606 and 607 and FINRA Rule 6151 - Serve as the escalation point for trade errors, breaks, and settlement issues across engineering, product, compliance, and external partners, assessing customer impact and driving sustainable process improvements - Maintain trading operations procedures and contribute to Written Supervisory Procedures so documented controls stay aligned with products, systems, and partner workflows - Lead readiness for regulatory exams, audits, and internal testing, producing operational evidence, supporting responses, and translating findings into system or process changes - Manage day-to-day operational relationships with carrying brokers, executing brokers, custodians, fund companies, and transfer agents, including escalations, service-level performance, and change management

Requirements - Several years of brokerage, trade operations, supervision, or trading control experience with an active or recently held FINRA license - Hands-on operational experience across fixed income, mutual funds, and ETFs, including a working sense of where each product breaks and why - A track record of building or materially improving a trade surveillance or operational control framework, not just running someone else's - Working knowledge of FINRA and SEC operational requirements covering recordkeeping, supervision, best execution, trade reporting, and customer protection, applied to workflows without obvious precedent - Clear written communication for procedures, escalations, and post-mortems that regulators, engineers, and executives can each read and act on - Comfort operating in ambiguous, fast-moving environments and willingness to design the process rather than wait for one

Nice to have - Experience at a fintech or high-growth firm operating a broker-dealer or RIA at scale - Experience standing up a new product, partner, or clearing relationship from scratch - Comfort with SQL or internal tooling to investigate issues directly

Benefits and work setup - Posted US base salary range of approximately $121,500 to $168,700 USD, varying by location, paired with equity (stock options/RSUs) and a benefits package as part of total rewards - Offers calibrated to experience, expertise, and internal pay equity