Order Room ETF, Trading Support - Assistant Vice President
South Jordan, Utah/Purchase, New York
Job Profile:
Overview:
We're seeking someone to join our team as an AVP in Trading Operations to support order handling, routing, and risk management for client trading activity across US equities, listed options, futures, and crypto. This is an opportunity to join a team responsible for day-to-day trade and order management, as well as the regulatory and risk management controls that support a scalable trading environment for self-directed brokerage clients.
This role is well suited for someone who enjoys working close to the markets, solving time-sensitive trading and operational issues, and partnering across Legal, Compliance, Risk, and Technology to support superior client and regulatory outcomes.
What You'll Do in the Role:
- Support day-to-day Trading Operations activities for a dynamic, high-volume brokerage environment covering US equities, listed options, futures, and crypto.
- Assist with order handling, routing, broker review, manual order entry, trade inquiry escalation, and exception resolution, applying sound analytical judgment to protect clients, the Firm, and the markets.
- Support risk management processes related to SEC Rule 15c3-5 market access controls, including pre-trade controls, broker review workflows, system rejected orders, aggregate limits, entitlement reviews, and related documentation.
- Contribute to best execution and order routing governance through execution quality reviews, market center analysis, operational risk management procedures, and leadership reporting.
- Partner with colleagues across Legal, Compliance, Risk, Technology, Product, Operations, Client Service, market centers, and vendors to investigate issues, implement enhancements, and support new or evolving trading capabilities.
- Help maintain written procedures, desktop procedures, checklists, evidence retention, and audit-ready documentation as part of the team's control regime.
- Analyze trading system activity, execution data, order rejects, market access controls, trading halts, order marking, trade reporting, corporate action impacts, and other operational risk indicators.
- Identify risk in day-to-day processes and help drive automation, control enhancements, reporting improvements, and operational efficiencies across Trading Operations workflows.
- Build subject matter expertise in E*TRADE trading platforms, order management and execution management systems, brokerage middle-office processes, and evolving market structure topics.
- Demonstrate sound judgment, strong accountability, and clear communication in a collaborative team culture focused on risk management, client experience, and continuous > At least 5 years of financial services experience, ideally with direct exposure to brokerage, trading, trade support, securities operations, market structure, or other roles involving securities markets.
- Subject matter expertise in the business area supported, including working knowledge of US equities, listed options, futures, and/or crypto markets; experience across multiple asset classes is strongly preferred.
- Familiarity with order entry, order routing, execution quality, trade reporting, broker review, market access controls, best execution, and regulatory obligations impacting broker-dealers.
- Experience using or supporting OMS/EMS platforms, trading tools, market data platforms, brokerage middle-office systems, or related operational workflows.
- Ability to establish clear goals and priorities and address non-standard issues within area of expertise with minimal guidance and supervision.
- Ability to recognize risk in day-to-day processes, draw out key issues, and contribute to process improvements, while ensuring control is never compromised.
- Proven ability to manage competing priorities, coordinate across teams, and drive issues to resolution with a strong sense of ownership.
- Excellent verbal and written communication skills, including the ability to explain trading, operational, and regulatory topics to stakeholders across business, control, and technology functions.
- Strong Microsoft Office skills, particularly Excel and PowerPoint; experience with data analysis, reporting, workflow documentation, or process automation is a plus.
- A culture carrier who embraces the Firm's core values.
- Series 7 and Series 63; Series 57 a plus.
What You Can Expect from Morgan Stanley:
- Exposure to a fast-moving, multi-asset trading environment spanning equities, options, futures, and crypto, with direct visibility into market structure and regulatory risk management.
- A collaborative, inclusive culture that values diverse perspectives and rewards initiative, integrity, and sound judgment.
- Attractive employee benefits, including retirement, health, and wellbeing packages for you and your family to help you plan for your future.
- Opportunities for continuous learning and development, along with exposure to senior leaders across Trading Operations, Compliance, Legal, Risk, and Technology.
Expected base pay rates for the role will be between $85,000 and $140,000 per year at
the commencement of employment. However, base pay if hired will be determined on an individualized
basis and is only part of the total compensation package, which, depending on the position, may also
include commission earnings, incentive compensation, discretionary bonuses, other short and long-term
incentive packages, and other Morgan Stanley sponsored benefit programs
