Citizens Financial Group, Inc

Trade Ops Group Manager

Citizens Financial Group, Inc • $100K — $130K *
Johnston, RI 02919In-Person
Finance & Insurance
8 - 10 years of experience
1 month ago
Job Overview by Ladders

Qualifications

  • FINRA Series 7, 63 or 66 required; Series 24, 53, and 4 must be obtained.
  • 10-15+ years in trading, trade operations, or investment operations.
  • Deep understanding of market structure and trade lifecycle.
  • Proven leadership of large teams and cross-functional projects.
  • Strong knowledge of regulatory requirements (SEC, FINRA, MSRB).
  • Exceptional analytical and decision-making skills.

Responsibilities

  • Oversee daily trade execution activities across various asset classes.
  • Ensure compliance with best execution practices and regulatory obligations.
  • Establish execution strategies and protocols for market disruptions.
  • Lead all post-trade operational functions for accuracy and efficiency.
  • Design and maintain operational controls to mitigate risks.
  • Serve as a key stakeholder with trading platforms and vendors.
  • Develop strategic roadmap aligned with organizational goals.

Benefits

  • Flexible work arrangement with 4 days in office and 1 day WFH.
  • Opportunity for leadership development and mentorship.
  • Engagement in large-scale strategic initiatives and improvements.
Full Job Description
Job Description

The Trade Ops Group Manager is responsible for the end to end leadership of trade execution, post trade processing, and operational support across all asset classes and across all custodians within the Wealth platform. This role ensures best execution, operational efficiency, regulatory compliance, risk mitigation, and a high quality advisor and client experience.

The role serves as the senior owner of trading and trade operations strategy, execution oversight, vendor and custodian relationships, and continuous improvement initiatives. The ideal candidate brings deep market structure knowledge, operational rigor, and strong leadership experience in a regulated financial services environment.

Key Responsibilities:

Trade Execution Leadership

  • Oversee daily trade execution activities across equities, fixed income, mutual funds, ETFs, options, alternatives, and other supported products.


  • Ensure best execution practices aligned with fiduciary obligations, regulatory requirements, and firm policies.


  • Establish and maintain execution strategies, trading protocols, and escalation procedures for market volatility or disruptions.


  • Partner with Compliance and Legal to ensure adherence to SEC, FINRA, and other regulatory standards.


Trade Operations & Post Trade Processing

  • Lead all post trade operational functions, including confirmations, allocations, settlements, reconciliations, fails management, and corporate actions.


  • Ensure accuracy, timeliness, and control integrity across the full trade lifecycle.


  • Own operational readiness for new products, platforms, custodians, or regulatory changes.


  • Drive root cause analysis and resolution of trade breaks, settlement issues, and operational incidents.


Risk Management & Controls

  • Design and maintain strong operational controls to mitigate execution, settlement, and counterparty risk.


  • Partner with Risk and Compliance on audits, regulatory exams, and issue remediation.


  • Monitor key risk indicators (KRIs), trade error trends, and exception reporting.


  • Ensure effective documentation of procedures, controls, and business continuity plans.


Technology, Platforms & Vendors

  • Key stakeholder in relationships with trading platforms, custodians, broker dealers, and third party service providers.


  • Partner with Technology teams to enhance trading tools, straight through processing, and automation.


  • Lead system upgrades, integrations, and platform migrations impacting trade execution or operations.


  • Evaluate and implement technology solutions to improve scalability, transparency, and efficiency.


Strategic Leadership & Continuous Improvement

  • Develop and execute the strategic roadmap for trade execution and operations, aligned with Wealth Operations goals.


  • Identify opportunities to streamline workflows, reduce manual processes, and improve turnaround times.


  • Lead largescale initiatives such as outsourcing decisions, centralization efforts, or operating model changes.


  • Establish and track performance metrics, service level agreements (SLAs), and operational KPIs.


People & Organizational Leadership

  • Lead, develop, and mentor highperforming trading and trade operations teams.


  • Establish clear roles, accountability, and career development paths.


  • Foster a culture of risk awareness, operational excellence, and continuous improvement.


  • Ensure appropriate staffing, coverage models, and succession planning.


Stakeholder & Advisor Partnership

  • Serve as a key point of contact for advisors, product team, and senior leadership.


  • Translate complex trading and operational topics into clear, actionable insights for nontechnical stakeholders.


  • Support advisor education on trading processes, execution quality, and operational capabilities.


Qualifications

Required:

  • FINRA Series 7, 63 or 66, required and FINRA Series 24, 53, and 4 required or ability to obtain.


  • 10-15+ years of experience in trading, trade operations, or investment operations within wealth management, asset management, or broker dealer environments.


  • Deep understanding of market structure, trade lifecycle, and best execution standards.


  • Demonstrated leadership of large, complex teams and cross functional initiatives.


  • Strong knowledge of regulatory requirements (SEC, FINRA, MSRB, etc.).


  • Exceptional analytical, problem solving, and decision making skills.


Preferred:

  • Bachelor's degree in Finance, Business, Economics, or related field.


  • Experience across multiple asset classes and custodial platforms.


  • Background in operational risk management, process redesign, or technology transformation.


  • Experience supporting advisor led or discretionary portfolio management models.


Core Competencies:

  • Trade Execution & Market Expertise


  • Operational Excellence


  • Risk & Control Discipline


  • Strategic Thinking


  • Vendor & Platform Management


  • Regulatory & Compliance Awareness


  • Leadership & Talent Development


  • Stakeholder Communication


Work Schedule:
  • M-F; 40 hours
  • 4 days in office and 1 day WFH


About Citizens Financial Group, Inc

Citizens Bank is a financial service company. It provides outstanding local and personalized service. It offers a full range of commercial, real estate, and consumer lending. It is specialized in personal and small business deposit services, electronic services.

Citizens Financial Group, Inc. Careers

Join the dynamic team at Citizens Financial Group, Inc., a leading financial institution where your career aspirations can soar. We are committed to fostering a culture of innovation, leadership, and diversity that supports our employees' professional growth and development.

Explore Job Opportunities

At Citizens Financial Group, Inc., we offer a wide range of job opportunities that cater to diverse skill sets and career interests. Whether you're a seasoned professional or just starting out, you'll find a position that challenges you and enhances your expertise.

Internship Programs

Kickstart your career with our internship programs designed to give you a hands-on experience in the financial sector. Our internships provide a robust platform to develop your skills, engage in meaningful projects, and network with industry leaders.

Employment Benefits

Choosing a career with Citizens Financial Group, Inc. means opting for a comprehensive package of benefits. We believe in supporting our team members not only in their professional lives but also in their personal growth and well-being.

Inclusive Culture and Diversity Training

We pride ourselves on a workplace culture that embraces diversity and inclusivity. Regular diversity training ensures that our team members appreciate and leverage the unique backgrounds and perspectives that each individual brings to the company.

Professional Growth and Leadership Development

Continuous learning is at the core of our professional development agenda. With access to leadership development programs and tailored training, you can advance your career and leadership skills at Citizens Financial Group, Inc.

Innovation at Work

Innovation is key to staying competitive in the financial industry. At Citizens Financial Group, Inc., you’ll work alongside talented professionals who are pushing the boundaries of what’s possible in financial services.

Networking and Career Advancement

Our company not only provides job opportunities but also fosters an environment where networking and professional connections flourish. This supportive network is vital for career advancement and personal growth within the industry.

Join Our Team

Are you ready to take the next step in your career? Explore the open positions at Citizens Financial Group, Inc. and find where your skills and passions align with our needs. We are continuously hiring and looking for new talents to join our robust team.

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Prepare for Your Interview

Make a great first impression. Prepare for your interview with us by researching our company culture, reviewing your resume, and coming ready to discuss how your experience and skills align with the position you are applying for. At Citizens Financial Group, Inc., we are more than just a financial institution; we are a place where you can make a difference. Join us and transform your career with a company that values your unique talents and aspirations.
Learn more about Citizens Financial Group, Inc
Size
17,463 employees
Market Cap
$19.3 billion
Industry
Finance & Insurance
Net Income
$1 billion
Founded
1828
5 Year Trend
+2.6%
NASDAQ
CFG
* Ladders Estimates

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