Trade Operations Senior Support Specialist

Description

The Trade Operations Senior Support Specialist is responsible for the strategic and operational oversight of the trading desk, ensuring adherence to regulatory requirements, risk management practices, and timely execution of trading activities. This leadership role serves as a key point of escalation and governance, maintaining rigorous standards of compliance and operational excellence.

• Provides oversight of trading rules and system configurations in the Pershing Platform to ensure accurate and compliant trade processing
• Manages and oversees regulatory reporting requirements, including but not limited to CAT, CAIS, TRACE, and other mandated reporting obligations.
• Ensures adequate staffing levels and resource allocation to handle live trading orders efficiently and meet service level standards
• Supervises and participates in the review and release of flagged live orders, acting as a dual control for higher-risk transactions to mitigate operational and market risk
• Reviews and grants approvals for trade exceptions and non-standard transactions
• Maintains oversight of key risk metrics and escalates issues as necessary to senior management
• Leads the development, maintenance, and enhancement of policies, procedures, and desk-level controls to comply with regulatory and firm requirements
• Acts as the regulatory change management lead, assessing and implementing required changes to processes, systems, and reporting in response to new or amended regulations
• Partners with Compliance, Risk, Technology, and other business units to ensure trading activities align with internal standards and external regulatory expectations
• Provides guidance, training, and mentorship to trading support staff to promote a culture of risk awareness and operational excellence
• Assists in identifying, investigating and resolving trade errors by coordinating with advisors and support teams, helping to minimize financial exposure and prevent reoccurrence

• An undergraduate degree in a relevant field is preferred however candidates with significant directly related professional experience will also be considered.
• 5+ years industry experience
• Series 7 and 24

• This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.
• Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to the good character, business reputation, qualifications and experience of an applicant for registration applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4;
  
  and the Firm's obligation to the accuracy and completeness of the information contained on the applicant’s Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA.
• Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position.

Never: 0%;
Occasional: 1-33%;
Frequent: 34-66%;
Continuous: 67-100%

• Domestic Travel – Occasional
• International Travel – Never
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds – Occasional
• Sitting – Continuous
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional
• Lifting/Carrying (over 25 lbs.) – Occasional
• Squatting – Occasional
• Bending – Occasional
• Kneeling – Occasional
• Crawling – Never
• Climbing – Never
• Reaching overhead – Occasional
• Reachin…