Vice President, Trading and Brokerage Operations
About the position The Vice President, Trading & Brokerage Operations will oversee the operational integrity of the firm’s trading, clearing, settlement, and brokerage infrastructure. This executive leader will ensure efficient trade lifecycle management, strong risk controls, and regulatory compliance while building scalable operational processes that support growth in capital markets activity. This role partners closely with Trading, Finance, Compliance, Technology, and Executive Leadership and will also oversee and mentor operational team leaders based in Nicaragua.
Responsibilities
- Oversee the full trade lifecycle, including trade capture, allocation, confirmation, clearing, and settlement across equities, fixed income, derivatives, and alternative instruments.
- Manage relationships with clearing firms, custodians, and market utilities such as DTCC, NSCC, and DTC.
- Ensure timely resolution of trade breaks, settlement discrepancies, and maintain minimal fail rates.
- Supervise middle- and back-office operations, including cash management (ACH, wires, journal entries) and asset transfers.
- Oversee margin operations, corporate actions processing, and securities lending activities where applicable.
- Implement scalable operational procedures to support increased trading volumes and new financial product launches.
- Develop, maintain, and enforce Written Supervisory Procedures (WSPs) and operational policies.
- Establish and monitor internal controls to mitigate operational, counterparty, liquidity, and settlement risks.
- Conduct periodic operational risk assessments and workflow stress tests.
- Ensure adherence to SEC, FINRA, and exchange regulations while supporting regulatory reporting and audit readiness.
- Maintain accurate operational documentation, reporting integrity, and audit trails.
- Oversee brokerage platform infrastructure, including OMS/EMS integrations and clearing system interfaces.
- Evaluate and implement automation and AI-driven solutions to improve operational efficiency and reduce manual processes.
- Build, mentor, and manage high-performing operations teams, including team leads based in Nicaragua.
- Partner with Trading, Finance, Compliance, Technology, and Executive Leadership to support business expansion, capital markets transactions, and infrastructure scaling.
Requirements
- 10+ years of experience in brokerage, trading operations, or capital markets infrastructure.
- 5+ years in a senior leadership role within a broker-dealer or regulated financial institution.
- Deep understanding of clearing and settlement processes (DTCC, NSCC, DTC).
- Strong knowledge of SEC and FINRA regulations.
- Experience implementing operational controls and scaling trading infrastructure.
- Familiarity with OMS/EMS platforms and brokerage systems.
- Bachelor’s degree required; advanced degree preferred.
Nice-to-haves
- FINRA Series 7, 24, or 27 (or equivalent).
- CPA, CFA, or another advanced financial credential is a plus.
Apply tot his job Apply To this Job