Trading Operations Lead

📋 Description

• Own the trading operations and supervisory framework, providing licensed principal oversight of
• Own the trade surveillance and operational control framework, including licensed supervisory review
• Own supervision of trading and order-flow reporting obligations, including CAT (all elements
• Serve as the operational escalation point for trade errors, breaks, and settlement issues
• Oversee trading-related books and records requirements, partnering with Engineering, Compliance
• Own and maintain trading operations procedures and contribute to applicable Written Supervisory

🎯 Requirements

• Hold active FINRA Series 7, Series 63, and Series 24 licenses (Series 99 or Series 57 a plus).
• 8+ years in trading, brokerage, or investment operations, including direct ownership of trade
• Have hands-on operational experience across fixed income, mutual funds, and ETFs — you know where
• Have built or materially improved a trade surveillance or operational control framework, not just
• Possess a strong working knowledge of the operational requirements under FINRA and SEC rules —
• Communicate clearly in writing — procedures, escalations, and post-mortems that a regulator, an

🎁 Benefits

• Total rewards package at Mercury includes base salary, equity (stock options/RSUs), and benefits.