Trade Reporting and Margin Team Leader

Lead the firm's trading operations governance, regulatory reporting, and trading control framework across Broker-Dealer and Registered Investment Advisor businesses Manage Best Execution responsibilities, trading desk tasks, reviews, vendor relationship ownership, and quarterly scorecards Manage implementation and operation of Pershing's Enterprise Rules Engine, including approved products, system integrations, Compliance approvals, and client/advisor messaging Oversee trade-related regulatory reporting for equity, options, fixed income, alternatives, and FX Manage trade correction intake, review, approval, and monitoring Manage margin processes for RIA and BD businesses Manage trading in proprietary portfolios with Digital RIA, Vestwise Manage trading executions within Orion for Park Avenue Advisory Manage trading house accounts and review/monitor trade reject, error, average price, and allocation accounts Manage Review and Release processes for equity, fixed income, and mutual fund orders Manage group email issue intake Manage operational metrics collection, administration, communication, presentation, goal setting, and monitoring Oversee and develop a high-performing team through coaching, training, contact listening, feedback, and engagement Monitor schedule adherence and behaviors Ensure written operational procedures are finalized, regularly reviewed, and attested Requirements 5-10 years’ experience in financial services, preferably at a Broker Dealer (BD) or Registered Investment Advisor (RIA) in a trading operations role Outstanding organizational and time management skills Experience managing small teams and processes Minimum of 2-3 years of high touch customer service or operations experience, specifically with strong wealth management trading knowledge and background Ability to interact with all levels of organization Ability to work without direct supervision FINRA Series 7, 63/65 or 66, 4, 24, 51, 53 Familiarity with custodial systems such as Pershing, Fidelity, and Charles Schwab Familiarity with alternative investments tech platforms such as iCapital Knowledge of TAMP technology trading processes (Orion and Envestnet) Trade execution or reporting background Familiarity with project management principles Must be legally authorized to work in the United States without employer sponsorship/support now or in the future Core Competencies Demonstrates expertise in trading operations governance, regulatory reporting, and best execution management within Broker-Dealer and Registered Investment Advisor environments. Proven ability to lead teams, manage vendor relationships, and ensure compliance with trading regulations and operational procedures. Highest-signal resume keywords Trading Operations Governance Regulatory Reporting Best Execution Management FINRA Series 7, 63/65 or 66, 4, 24, 51, 53 Wealth Management Trading Knowledge ATS Optimization Keywords Hard Skills Trading Operations Regulatory Compliance Trade Execution Operational Metrics Management Trade Correction Processes Margin Processes Management System Integration Project Management Principles Vendor Relationship Management Customer Service in Financial Services Soft Skills Organizational Skills Time Management Team Leadership Communication Skills Interpersonal Skills Certifications & Qualifications FINRA Series 7 FINRA Series 63 FINRA Series 65 FINRA Series 66 FINRA Series 4 FINRA Series 24 FINRA Series 51 FINRA Series 53 Industry Keywords Broker-Dealer Registered Investment Advisor Equity Trading Options Trading Fixed Income Trading Alternative Investments FX Trading Wealth Management TAMP Technology High Touch Customer Service Tools & Technologies Pershing Fidelity Charles Schwab Orion Envestnet ICapital #J-18808-Ljbffr Jobtailor