Operations Manager

Role Overview

• Lead and manage the trading desk, overseeing all trade execution and monitoring activities for retail and advisory accounts.
• Ensure compliance with regulatory requirements (FINRA, SEC, SROs) and internal Written Supervisory Procedures (WSPs).
• Supervise daily reconciliation, accounting, and documentation processes, ensuring accuracy and timely completion.
• Manage escalations and resolve complex trading issues, serving as the primary point of contact for advanced inquiries.
• Coordinate with transfer agents, custodians, and internal departments (Principal Review, Brokerage Operations, New Accounts, Money Desk) to facilitate large-dollar and high-volume trades.
• Develop, implement, and refine desk procedures and workflows to enhance efficiency and risk management.
• Lead, mentor, and train Trader and Senior Trader staff; oversee onboarding and professional development.
• Analyze trading activity and provide strategic input to senior management regarding process improvements and regulatory changes.
• Maintain expert knowledge of trading platforms, particularly Pershing NetX360 and Orion Eclipse, and ensure team proficiency.
• Perform best execution review for trade activity and report results to leadership.

Requirements

• FINRA Series 7, series 24, and Series 66 licenses required; additional licenses may be required based on desk responsibilities.
• 5+ years of experience in Trade execution in brokerage or fee based accounts, with at least 2 years in a supervisory or management capacity.
• In-depth understanding of trading platforms (NetX360, Orion Eclipse) and advisory account workflows.
• Demonstrated ability to lead teams, manage escalations, and resolve complex trading and operational issues.
• Exceptional communication, leadership, and organizational skills.
• Proven ability to work under pressure in a fast-paced, deadline-driven environment with strong attention to detail.
• Advanced knowledge of reconciliation processes, trade error resolution, and regulatory compliance.

Benefits

• Health, dental, vision and life insurance plans
• 401(k) Savings plan – with generous company matching contributions (up to 6%)
• Voya Retirement Plan – employer paid cash balance retirement plan (4%)
• Tuition reimbursement up to $5,250/year
• Paid time off – including 20 days paid time off, nine paid company holidays and a flexible Diversity Celebration Day.
• Paid volunteer time — 40 hours per calendar year