Trade Ops Group Manager

• Oversee daily trade execution activities across equities, fixed income, mutual funds, ETFs, options, alternatives, and other supported products.

• Ensure best execution practices aligned with fiduciary obligations, regulatory requirements, and firm policies.

• Establish and maintain execution strategies, trading protocols, and escalation procedures for market volatility or disruptions.

• Partner with Compliance and Legal to ensure adherence to SEC, FINRA, and other regulatory standards.

• Lead all post trade operational functions, including confirmations, allocations, settlements, reconciliations, fails management, and corporate actions.

• Ensure accuracy, timeliness, and control integrity across the full trade lifecycle.

• Own operational readiness for new products, platforms, custodians, or regulatory changes.

• Drive root cause analysis and resolution of trade breaks, settlement issues, and operational incidents.

• Design and maintain strong operational controls to mitigate execution, settlement, and counterparty risk.

• Partner with Risk and Compliance on audits, regulatory exams, and issue remediation.

• Monitor key risk indicators (KRIs), trade error trends, and exception reporting.

• Ensure effective documentation of procedures, controls, and business continuity plans.

• Key stakeholder in relationships with trading platforms, custodians, broker dealers, and third party service providers.

• Partner with Technology teams to enhance trading tools, straight through processing, and automation.

• Lead system upgrades, integrations, and platform migrations impacting trade execution or operations.

• Evaluate and implement technology solutions to improve scalability, transparency, and efficiency.

• Develop and execute the strategic roadmap for trade execution and operations, aligned with Wealth Operations goals.

• Identify opportunities to streamline workflows, reduce manual processes, and improve turnaround times.

• Lead largescale initiatives such as outsourcing decisions, centralization efforts, or operating model changes.

• Establish and track performance metrics, service level agreements (SLAs), and operational KPIs.

• Lead, develop, and mentor highperforming trading and trade operations teams.

• Establish clear roles, accountability, and career development paths.

• Foster a culture of risk awareness, operational excellence, and continuous improvement.

• Ensure appropriate staffing, coverage models, and succession planning.

• Serve as a key point of contact for advisors, product team, and senior leadership.

• Translate complex trading and operational topics into clear, actionable insights for nontechnical stakeholders.

• Support advisor education on trading processes, execution quality, and operational capabilities.

• FINRA Series 7, 63 or 66, required and FINRA Series 24, 53, and 4 required or ability to obtain.

• 10–15+ years of experience in trading, trade operations, or investment operations within wealth management, asset management, or broker dealer environments.

• Deep understanding of market structure, trade lifecycle, and best execution standards.

• Demonstrated leadership of large, complex teams and cross functional initiatives.

• Strong knowledge of regulatory requirements (SEC, FINRA, MSRB, etc.).

• Exceptional analytical, problem solving, and decision making skills.

• Bachelor’s degree in Finance, Business, Economics, or related field.

• Experience across multiple asset classes and custodial platforms.

• Background in operational risk management, process redesign, or technology transformation.

• Experience supporting advisor led or discretionary portfolio management models.

• Trade Execution & Market Expertise

• Operational Excellence

• Risk & Control Discipline

• Strategic Thinking

• Vendor & Platform Management

• Regulatory & Compliance Awareness

• Leadership & Talent Development

• Stakeholder Communication

Work Schedule:

• M-F; 40 hours

• 4 days in office and 1 day WFH