Trading Operations Lead

🔥 12 hours ago

🌐 United States, Canada – Remote

🇺🇸 United States – Remote 🇨🇦 Canada – Remote

🏄 California, New York, +1 more states – Remote

🏄 California – Remote 🗽 New York – Remote 🌲 Oregon – Remote

💵 $121.5k - $168.7k / year

⏰ Full Time

🟠 Senior

⚙️ Operations

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 0%

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Mercury

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 2017

💳 Fintech

🏦 Banking

☁️ SaaS

Fintech • Banking • SaaS

Mercury is a software-driven fintech that provides business and personal banking products built for startups and small to mid-size companies. Its platform offers business checking and savings, Treasury products, business credit cards and spend management, payments and invoicing, accounting integrations and AI-powered automations, plus APIs and developer tools. Mercury partners with FDIC-insured banks to offer deposit protection, emphasizes virtual cards, granular spend controls, and workflow automations for teams, agencies, ecommerce brands, VC funds, and crypto businesses. The product is positioned as an all-in-one banking and finance platform delivered through a modern app and API.

📋 Description

• Own the trading operations and supervisory framework for Mercury’s SEC-registered investment advisor and FINRA-member broker-dealer • Provide licensed principal oversight of order and trade activity across money market funds, mutual funds, ETFs, and fixed income • Oversee operational controls, reconciliations, exceptions, escalations, trade surveillance, best execution monitoring, trade breaks and errors, and remediation • Supervise trading and order-flow reporting obligations, including CAT, CAIS, TRACE, SEC Rules 606 and 607, and FINRA Rule 6151 • Provide supervisory review of customer account statements and trade confirmations • Coordinate investigation and resolution of trade errors, breaks, and settlement issues across Engineering, Product, Compliance, and external partners • Oversee trading-related books and records requirements • Maintain trading operations procedures and contribute to Written Supervisory Procedures • Lead readiness for regulatory exams, audits, and internal testing • Manage operational relationships with carrying brokers, executing brokers, custodians, fund companies, and transfer agents • Partner with Product and Engineering on system-managed trading workflows, controls, requirements, exceptions, and operational readiness • Build reporting and operational visibility for volumes, breaks, errors, aging exceptions, settlement performance, and control effectiveness • Partner with Compliance, Finance, Legal, Risk, Product, and Engineering on new products, partners, and regulatory changes

🎯 Requirements

• Active FINRA Series 7, Series 63, and Series 24 licenses required • 8+ years in trading, brokerage, or investment operations, including direct ownership of trade lifecycle, settlement, or trading control functions • Hands-on operational experience across fixed income, mutual funds, and ETFs • Experience building or materially improving a trade surveillance or operational control framework • Strong working knowledge of operational requirements under FINRA and SEC rules, including recordkeeping, supervision, best execution, trade reporting, and customer protection • Clear written communication for procedures, escalations, and post-mortems • Comfort operating in ambiguity and at speed, and willingness to design processes • Judgment about when to automate, add a control, or accept a manual step • Series 99 or Series 57 license a plus • Experience at a fintech or high-growth firm operating a broker-dealer or RIA at scale is nice to have • Experience standing up a new product, partner, or clearing relationship from scratch is nice to have • Comfort with SQL or working directly in internal tooling is nice to have

🏖️ Benefits

• Base salary • Equity (stock options/RSUs) • Benefits • Reasonable accommodations throughout the recruitment process for applicants with disabilities or special needs