Manager, Trading Operations

Your Opportunity

The Margin Services group protects the both the brokerage firm and the bank from risk exposure, oversees compliance with regulations outlined by both the firm and regulatory bodies, and accurately interprets regulations and communicates to customers firm policy regarding regulatory requirements. Margin Services imposes trading restrictions on accounts for trade settlement violations. Margin services reviews money due, securities due and various risk reports. We handle inquiries from internal and external clients regarding buying power, funds available and day trading.

A Margin Services Individual Contributor Manager excels in a fast paced, detail-oriented, high volume, and deadline-driven environment. This candidate possesses subject matter expertise across Margin Services workflows including, Regulation T, day trading, maintenance calls, trade settlement violations, option pairing, cashiering approvals and taking hotline calls, liquidating accounts to cover risk.

What you'll do:

• Resolve margin-related issues with both internal and external clients while delivering outstanding client service.
• Monitor and resolve margin calls, resolution of debit balances, and short positions.
• Explain and apply industry rules, regulations, and policies.
• Enforce regulations and restrictions.
• Solving problems and conduct research/special requests to resolve margin-related issues.
• Maintain a high degree of accuracy, assess risk, and make sound business judgement decisions.
• Provide excellent customer service on inbound and outbound calls and via written communication, while also building and sustaining positive relationships with internal business partners and external clients.
• Participate in and lead projects as needed.
• Engage in dialogue for ways to find and implement process improvements that enhance the client experience and remove barriers to reps to perform their work efficiently.
• Experience with agile methodology and communicating business needs to development teams.
• Act as a Subject Matter Expert (SME) and a resource for the team, department, and business partners.
• Serve as a resource for ongoing support or escalations when called upon.
• Partner with management to identify, monitor and control existing and emerging risks.
• Conduct timely review of 9/10 assigned tasks.
• Deliver training and education to new hires within and outside the department as needed.

Your Core Behaviors:

• Customer Orientation: Quickly and effectively solves customer problems.
• Results Oriented: Has a strong sense of urgency for solving problems and getting work done efficiently.
• Flexibility: Demonstrates openness to new organizational structures, procedures, and technology.
• Initiative: Identifies what needs to be done and acts before being asked or required to.
• Adaptability: Can effectively handle several problems or tasks at once.

What you have

• Series 7 and 63 licenses required.
• Series 9/10 licenses required.
• 20+ years industry experience.
• 7+ years' experience working in Margin Services.
• Ability to deliver complex information while maintaining a positive client experience.
• Strong reconciliation skills and diligence in researching problem accounts.
• Excellent analytical skills, including the ability to anticipate issues and to design appropriate solutions.
• Self-motivation, able to work independently and resourcefully to resolve complex issues and meeting client needs.
• Work well in a collaborative team environment with a positive attitude, enthusiasm, and professionalism.
• Intermediate to advanced technical skills with the ability to utilize multiple applications at a time including Windows, email, MS Teams, JIRA, and internal database systems.
• Candidates must be flexible and comfortable with changing work duties.
• Strong organizational skills, attention to detail, and ability to multitask are critical.
• Experience coordinating and facilitating training others on systems and procedures.
• A track record of providing sound guidance to business partners, peers, and leadership.