The
Manager, Trading Operations & Controls is responsible for leading the firm's trading operations governance, regulatory reporting, and trading control framework across both the Broker-Dealer (BD) and Registered Investment Advisor (RIA) businesses. This role oversees critical trading functions including best execution, trade supervision, trading rules management, regulatory reporting, margin oversight, trade corrections, and order review processes, while ensuring compliance with regulatory requirements and internal policies. The position also leads operational reporting and team governance initiatives, partnering closely with Compliance, Technology, custodial partners, and business stakeholders to drive operational excellence, risk management, and an exceptional advisor and client experience.
You will- Manage the firm's Best Execution responsibilities for both the RIA and the BD. This role would be responsible for the firm's execution of our procedures with regard to Best Ex and be the Relationship Owner with our vendor partner. This would require managing trading desk tasks, reviews, and the compilation of the quarterly scorecards for the Park Avenue committee review.
- Responsible for managing the firm's implementation of Pershing's trading rules system, the Enterprise Rules Engine (ERE). This would require the full understanding and managing of the firm's approved products, how systems integrate and can be leveraged with the ERE, interact with the Compliance team for approval of changes, and fully appreciate the client impacts and suggest custom messages for rules implemented to better educate clients and advisors about why trades are reviewed prior to execution.
- Primarily responsible for the compliance of the firm's trade related regulatory reporting for all security types, e.g. equity, options, fixed income, alternatives, FX.
- Manage the trade correction intake, review, approval, and monitoring process for both the RIA and BD business.
- Manage the margin process for both the RIA and BD business.
- Manage the firm's responsibilities with regard to trading in the proprietary portfolios with the Digital RIA, Vestwise.
- Manage the firm's trading executions within the Orion system for the separate RIA, Park Avenue Advisory.
- Manage the firm's trading house accounts. Create processes around the review and monitoring of the firm's trade reject account, error account, average price and allocation accounts.
- Manage the firm's Review and Release process for equity, fixed income and mutual fund order processing.
- Manage the firm's email intake of issues to the group.
- Metrics - Manage the overall process the larger group uses to collect, manage, and disseminate operational metrics. Manage the process of goal setting (improvement) and monitor the adherence to our goals throughout the year. Administers, develops, communicates, and presents key metrics/reporting to management at all levels. Updates/creates miscellaneous documents for various platforms i.e., meetings, conferences, SLT, etc.
- Oversee and inspire a high performing team through daily coaching, training, and call/contact listening, providing tailored development feedback to each team member, and driving employee engagement.
- Proactively monitor schedule adherence and behaviors to ensure team members are in the right place, at the right time, to effectively serve our customers.
- Manage Team Procedures Reviews and Attestations - responsible for ensuring the team has finalized written operational procedures and oversees the regular review and attestation process for all operational teams.
You haveRequired:- 5-10 years' experience in financial services, preferably at a Broker Dealer (BD) or Registered Investment Advisor (RIA) in a trading operations role
- Outstanding organizational and time management skills
- Experience managing small teams and processes
- Minimum of 2-3 years of high touch customer service or operations experience, specifically with strong wealth management trading knowledge and background.
- Ability to interact with all levels of organization
- Self-Starter - Ability to work without direct supervision
- FINRA series 7, 63/65 or 66, 4, 24, 51, 53
Preferred:- Familiarity with custodial systems such as Pershing, Fidelity, and Charles Schwab
- Familiarity with alternative investments tech platforms such as iCapital
- Knowledge of TAMP technology trading processes (Orion and Envestnet)
- Trade execution or reporting background
- Familiarity with project management principles
Salary Range:$103,450.00 - $169,960.00
The salary range reflected above is a good faith estimate of base pay for the primary location of the position. The salary for this position ultimately will be determined based on the education, experience, knowledge, and abilities of the successful candidate. In addition to salary, this role may also be eligible for annual, sales, or other incentive compensation.
Our PromiseAt Guardian, you'll have the support and flexibility to achieve your professional and personal goals. Through skill-building, leadership development and philanthropic opportunities, we provide opportunities to build communities and grow your career, surrounded by diverse colleagues with high ethical standards.
Inspire Well-BeingAs part of Guardian's Purpose - to inspire well-being - we are committed to offering contemporary, supportive, flexible, and inclusive benefits and resources to our colleagues. Explore our company benefits at www.guardianlife.com/careers/corporate/benefits. Benefits apply to full-time eligible employees. Interns are not eligible for most Company benefits.
Current Guardian Colleagues: Please apply through the internal Jobs Hub in Workday.
