Trading Manager

• →Monitor daily order flow, routing, and executions across equities and options, resolving anomalies and escalating issues
• →Review orders and evaluate risk on trades that drop to review, approving, rejecting, or escalating per policy
• →Manage and work not held orders via algo strategies or RFQ
• →Serve as the desk's senior point of contact for advisor questions on orders, executions, and market events

• →Execute daily desk activity in compliance with applicable SEC, FINRA, MSRB, and exchange rules governing order handling and trading
• →Maintain documentation and exception evidence for desk workflows

• Work fixed income order flow, including treasuries, municipals, corporates, and brokered CDs, across dealers and electronic venues
• Support advisor questions on bond availability, pricing, yield, and order status
• Flag pricing and settlement exceptions on fixed income trades and drive them to resolution

• Support Credit Risk by executing liquidations required to satisfy margin calls and debit obligations
• Support Credit Risk in enforcing PDT, Good Faith, and Freeride restrictions on the desk
• Field buying power and restriction questions from advisors and route risk decisions to Credit Risk

• Oversee trade break research and resolution, cancels and rebills, and trade error handling under firm policy
• Maintain the trade error account process, including documentation, approval, and loss tracking
• Ensure clean handoffs between the desk, clearing, and settlement workflows

• Partner with Product and Engineering on trading feature buildouts across asset classes
• Design desk workflows that scale with volume, reducing manual touches and embedding controls from day one
• Identify where AI and automation can improve break triage, exception handling, and advisor response quality, and pilot those improvements

What you bring

We're looking for a trading professional who combines desk instincts with operational discipline, and who wants to grow into leadership.

• 5+ years of experience on a trading desk, in trading operations, or in execution services at a broker-dealer or custodian
• Hands-on experience with equity and options order handling, routing, and trade support
• Exposure to fixed income order flow and bond market mechanics strongly preferred
• Experience managing trade breaks, corrections, and error accounts
• Working familiarity with margin mechanics, including calls, buying power, and liquidations

• Experience with OMS and routing platforms such as Sterling or equivalent
• Experience with clearing platforms such as FIS Phase 3 or equivalent
• Understanding of RFQ platforms (e.g., RFQ Hub, Tradeweb, RFQE)
• Exposure to fixed income venues and data tools (e.g., Tradeweb, MarketAxess, ICE Bonds, Bloomberg) a plus
• Strong Excel skills; comfort working with large trade datasets and internal tooling

• FINRA Series 7 and Series 63 required
• Series 57 required, or must be obtained within 90 days of employment
• Series 24 and Series 4, or willingness to obtain
• Series 52, or willingness to obtain, given municipal order handling

• High ownership mentality: you treat the desk's daily operations as yours to run and improve
• Versatile generalist: comfortable moving between equities, options, fixed income, and risk support within the same day
• Aspires to people leadership and demonstrates it now through mentoring, documentation, and raising the bar for others
• Genuinely curious about AI: you actively experiment with AI tools to triage breaks, analyze execution quality, draft documentation, and automate repetitive work, and you want to help define how AI is used on the desk
• Calm, decisive judgment during fast markets and high-severity events
• Clear, confident communicator with advisors and internal partners
• Comfortable building structure in ambiguity as products launch and scale