Trading Operations Manager

Job Title:
Trading Operations Manager •
Compensation
: $130,000 + 15% Bonus •
Location
:
Phoenix, AZ

An industry-leading wealth management platform serving independent financial professionals nationwide is seeking an experienced Operations Manager to join its Trading Operations team. The organization values independence, innovation, and superior service while providing cutting‑edge technology and resources to support financial professionals and their clients.

This role is responsible for educating financial professionals and their staff on trading activities while ensuring timely and accurate processing of requests. The ideal candidate is detail‑oriented, service‑focused, and motivated to foster a culture centered on accountability, collaboration, and results.

• Provide direct oversight of the Trading Operations team, ensuring service quality, accuracy, and regulatory compliance
• Promote accountability, performance excellence, and professional development through coaching and leadership
• Identify opportunities to improve processes, efficiency, and operational workflows

• Oversee trade processing support, corrections, alternative investment processing, restricted stock processing, and related activities
• Ensure alignment with regulatory requirements through collaboration with senior operations and compliance leadership
• Support non‑purpose loan collateral reviews and trade tool training initiatives

• Consult with financial professionals and internal partners to resolve complex issues and optimize platform solutions
• Support onboarding and prospective financial professional meetings
• Maintain strong relationships with external service providers including fixed income, banking/lending, and alternative investment partners

• Identify training needs and assist in developing best‑in‑class field training programs
• Analyze root causes of operational issues and implement sustainable solutions
• Support strategic initiatives and represent the organization at industry events as needed

• High school diploma or equivalent required; bachelor’s degree preferred
• Minimum 3+ years of relevant industry experience
• Prior management or supervisory experience preferred
• Understanding of regulatory requirements within an independent broker‑dealer environment
• Working knowledge of National Financial Services preferred
• Strong knowledge of alternative investments and securities‑backed lending
• Strong communication, public speaking, and problem‑solving skills
• Proficiency with Microsoft Office (Word, Excel, Outlook, PowerPoint)
• Experience coaching, motivating, and developing employees

• Series 7 and 63 or 66 required
• Series 24 required
• Series 4 and Series 53 required within one year of hire
• Additional licenses may be required based on industry standards

• Competitive compensation and comprehensive benefits package
• 401(k), health insurance, and additional benefits
• Collaborative, professional work environment
• Career growth and advancement opportunities
• Tuition reimbursement for qualified expenses

MOHR Talent is an equal‑opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at