08/29/2026
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...
Guardian
New York, NY
Full Time
