Trading Operations Lead

Responsibilities

• Own the trading operations and supervisory framework, providing licensed principal oversight of order and trade activity across money market funds, mutual funds, ETFs, and fixed income; oversee operational controls, reconciliations, exceptions, and escalations, partnering closely with Engineering and Product on…
• Own the trade surveillance and operational control framework, including licensed supervisory review where required, oversight of pre- and post-trade controls, best execution monitoring, trade breaks and errors, escalation and remediation, and evidence that required reviews and controls are operating as designed;…
• Own supervision of trading and order-flow reporting obligations, including CAT (all elements, including annual clock synchronization), CAIS, and TRACE, coordinating with our carrying broker and third-party reporting vendor; ensure timely and accurate compliance with SEC Rules 606 and 607 and FINRA Rule 6151, and…
• Serve as the operational escalation point for trade errors, breaks, and settlement issues, coordinating investigation and resolution across Engineering, Product, Compliance, and our carrying and executing partners, assessing customer impact, and ensuring recurring issues result in appropriate process or control…
• Oversee trading-related books and records requirements, partnering with Engineering, Compliance, and our carrying broker to ensure required trade, order, allocation, and supervisory records are appropriately generated, retained, and retrievable.
• Own and maintain trading operations procedures and contribute to applicable Written Supervisory Procedures, ensuring documented controls and supervisory practices remain aligned with how our products, systems, and partner relationships operate.
• Lead trading operations readiness for regulatory exams, audits, and internal testing, including producing operational evidence, supporting responses, remediating findings, and translating identified gaps into sustainable process or system improvements.
• Manage day-to-day operational relationships with our carrying broker, executing brokers, custodians, fund companies, and transfer agents, including escalations, service-level performance, issue resolution, and operational change management.
• Partner closely with Product and Engineering on system-managed trading workflows and controls, bringing the operational and supervisory perspective to requirements, pressure-testing exceptions and edge cases, and ensuring appropriate operational readiness and oversight before launch, including post-launch operational…
• Build the reporting and operational visibility needed to oversee the trading function, including volumes, breaks and errors, aging exceptions, settlement performance, and control effectiveness, using those insights to identify risk, capacity constraints, and opportunities for improvement.

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