Trade Support Manager

• Hire, evaluate, supervise, guide, and train crew
• Set performance standards, review performance, and make compensation decisions in accordance with Human Resources policies and procedures
• Review team operations for efficiency and regulatory compliance
• Develop processes and procedures to improve brokerage operational effectiveness
• Conduct regulatory supervision of registered and associated crew and supported functions
• Own written supervisory procedures to ensure compliance
• Manage complex elevated client issues and oversee resolution of errors
• Mitigate risk by prioritizing error resolutions
• Develop and use expert knowledge of trading operation platforms to handle trade corrections
• Guide the team using compliance, regulatory, and departmental policies and procedures
• Build partnerships with business partners to provide feedback, solve problems, and introduce controls
• Manage project initiative delivery through resource allocation, timelines, schedules, and statistical data
• Participate in special projects and perform other assigned duties

• Minimum of five years related work experience
• Minimum of two years of brokerage experience
• Undergraduate degree or equivalent combination of training and experience
• Series 7 and Series 63 required prior to being hired
• Series 24 and Series 4 required, but may be obtained post-hire
• Regulatory license and/or registration requirements determined by Compliance based on role-specific duties
• No visa sponsorship offered for this position

Demonstrates expertise in regulatory compliance and brokerage operations, with a strong focus on team management, performance evaluation, and process improvement. Proficient in handling complex client issues and ensuring adherence to industry regulations.

• Brokerage Experience
• Regulatory Compliance
• Team Management
• Performance Evaluation
• Process Improvement

• Trading Operation Platforms
• Error Resolution
• Performance Standards
• Operational Effectiveness
• Project Management

• Problem Solving
• Team Guidance
• Partnership Building

• Series 7
• Series 63
• Series 24
• Series 4

• Regulatory Supervision
• Human Resources Policies
• Compliance Procedures
• Risk Mitigation
• Client Issue Management