Specialist, Execution Services

📋 Description

• Execute Written Supervisory Procedures (WSPs) to ensure compliance with SEC and FINRA regulations.
• Monitor equity trading systems, algorithmic controls, and alert frameworks for signs of disorderly
• Escalate issues as needed across trading desks, support, business management, and second-line risk
• Support trade operations across asset classes (equities, options, Fixed Income) globally
• Conduct daily real-time monitoring of our proprietary order management systems and; escalate and
• Provide client-facing support for FIX connectivity, including session monitoring, root cause

🎯 Requirements

• 3 - 5 years of experience in broker-dealer operations or electronic trading support, ideally across
• FINRA Series 7, 57, and 63 licenses (required)
• Understanding of brokerage operations, electronic execution workflows, and trading infrastructure
• Understanding of brokerage operations, trading systems, and electronic execution workflows
• Hands-on experience with FIX protocol, algo trading controls, and client
• Excel, SQL, and Python; able to investigate data issues, support connectivity, and script

🎁 Benefits

• Competitive compensation, equity, and a 401(k) match
• Medical insurance, Dental insurance, Vision insurance, Disability insurance, Paid Parental Leave
• Wellness reimbursement
• Company-provided phone
• Personal development allowance
• Generous Paid Time Off (PTO) and observed holidays