Trade Ops Group Manager

Description

The Trade Ops Group Manager is responsible for end-to-end leadership of trade execution, post‑trade processing, and operational support across all asset classes and all custodians within the Wealth platform. This role ensures best execution, operational efficiency, regulatory compliance, risk mitigation, and a high‑quality advisor and client experience.

The role serves as the senior owner of trading and trade operations strategy, execution oversight, vendor and custodian relationships, and continuous improvement initiatives. The ideal candidate brings deep market structure knowledge, operational rigor, and strong leadership experience in a regulated financial services environment.

• Oversee daily trade execution activities across equities, fixed income, mutual funds, ETFs, options, alternatives, and other supported products.
• Ensure best execution practices aligned with fiduciary obligations, regulatory requirements, and firm policies.
• Establish and maintain execution strategies, trading protocols, and escalation procedures for market volatility or disruptions.
• Partner with Compliance and Legal to ensure adherence to SEC, FINRA, and other regulatory standards.

• Lead all post‑trade operational functions, including confirmations, allocations, settlements, reconciliations, fails management, and corporate actions.
• Ensure accuracy, timeliness, and control integrity across the full trade lifecycle.
• Own operational readiness for new products, platforms, custodians, or regulatory changes.
• Drive root‑cause analysis and resolution of trade breaks, settlement issues, and operational incidents.

• Design and maintain strong operational controls to mitigate execution, settlement, and counter party risk.
• Partner with Risk and Compliance on audits, regulatory exams, and issue remediation.
• Monitor key risk indicators (KRIs), trade error trends, and exception reporting.
• Ensure effective documentation of procedures, controls, and business continuity plans.

• Key stakeholder in relationships with trading platforms, custodians, broker dealers, and third‑party service providers.
• Partner with Technology teams to enhance trading tools, straight‑through processing, and automation.
• Lead system upgrades, integrations, and platform migrations impacting trade execution or operations.
• Evaluate and implement technology solutions to improve scalability, transparency, and efficiency.

• Develop and execute the strategic roadmap for trade execution and operations, aligned with Wealth Operations goals.
• Identify opportunities to streamline workflows, reduce manual processes, and improve turnaround times.
• Lead large‑scale initiatives such as outsourcing decisions, centralization efforts, or operating model changes.
• Establish and track performance metrics, service level agreements (SLAs), and operational KPIs.

• Lead, develop, and mentor high‑performing trading and trade operations teams.
• Establish clear roles, accountability, and career development paths.
• Foster a culture of risk awareness, operational excellence, and continuous improvement.
• Ensure appropriate staffing, coverage models, and succession planning.

• Serve as a key point of contact for advisors, product team, and senior leadership.
• Translate complex trading and operational topics into clear, actionable insights for non‑technical stakeholders.
• Support advisor education on trading processes, execution quality, and operational capabilities.

• FINRA Series 7, 63 or 66 required and FINRA Series 24, 53, and 4 required or ability to obtain.
• 10–15+ years of experience in trading, trade operations, or investment operations within wealth management, asset management, or broker‑dealer environments.
• Deep understanding of market structure, trade lifecycle, and best execution standards.
• Demonstrated leadership of large, complex teams and cross‑functional initiatives.
• Strong knowledge of regulatory requirements (SEC, FINRA, MSRB, etc.).
• Excepti…