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About the Role

The Manager, Trading Operations & Controls leads the firm's trading operations governance, regulatory reporting, and trading control framework for both 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, ensuring compliance with regulatory requirements and internal policies. The position also leads operational reporting and team governance, partnering with Compliance, Technology, custodial partners, and business stakeholders to drive operational excellence, risk management, and enhance advisor and client experience.

Responsibilities

Manage the firm’s Best Execution responsibilities for both the RIA and the BD, including execution of procedures and vendor relationship management.
Manage trading desk tasks, reviews, and compilation of quarterly scorecards for committee review.
Manage the firm’s implementation of Pershing’s trading rules system, the Enterprise Rules Engine (ERE), including understanding approved products, system integration, and client impacts.
Interact with the Compliance team for approval of changes to the ERE and suggest custom messages for rules to educate clients and advisors.
Ensure compliance of the firm's trade-related regulatory reporting for all security types.
Manage the trade correction intake, review, approval, and monitoring process for both RIA and BD.
Manage the margin process for both RIA and BD.
Manage the firm’s trading in 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, including processes for reviewing and monitoring trade reject, error, 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.
Manage the overall process for collecting, managing, and disseminating operational metrics.
Manage the process of goal setting and monitor adherence to goals throughout the year.
Administer, develop, communicate, and present key metrics/reporting to management at all levels.
Update/create miscellaneous documents for various platforms.
Oversee and inspire a high-performing team through coaching, training, and call/contact listening.
Provide tailored development feedback and drive employee engagement.
Proactively monitor schedule adherence and behaviors to ensure team effectiveness.
Manage Team Procedures Reviews and Attestations, ensuring finalized written operational procedures and overseeing regular review and attestation processes.

Requirements

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 the organization.
Self-Starter - Ability to work without direct supervision.
FINRA series 7, 63/65 or 66, 4, 24, 51, 53.
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.
Must be legally authorized to work in the United States without the need for employer sponsorship.

Skills

Trading Operations
Governance
Regulatory Reporting
Trading Controls
Best Execution
Trade Supervision
Trading Rules Management
Margin Oversight
Trade Corrections
Order Review
Compliance
Risk Management
Operational Reporting
Team Management
Coaching
Training
Employee Engagement
Metrics Management
Project Management

Location

Primary Location

Work Type

Full-time

Experience Level

Manager

Salary/Compensations

$103,450.00 - $169,960.00

Benefits

Skill-building
Leadership development
Philanthropic opportunities
Supportive, flexible, and inclusive benefits and resources

About the Company

At 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.
As 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.

Equal Opportunity

Guardian is an equal opportunity employer. All qualified applicants will be considered for employment without regard to age, race, color, creed, religion, sex, affectional or sexual orientation, national origin, ancestry, marital status, disability, military or veteran status, or any other classification protected by applicable law.
Guardian is committed to providing access, equal opportunity and reasonable accommodation for individuals with disabilities in employment, its services, programs, and activities.
Guardian also provides reasonable accommodations to qualified job applicants (and employees) to accommodate the individual's known limitations related to pregnancy, childbirth, or related medical conditions, unless doing so would create an undue hardship.
If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact MyHR@glic.com.
Guardian Life is not currently or in the foreseeable future sponsoring employment-based visas (e.g., such as an H-1B).