Trade Reporting and Margin Team Leader

Lead the firm’s trading operations governance, regulatory reporting, and trading control framework across both the Broker-Dealer (BD) and Registered Investment Advisor (RIA) businesses. Oversee 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. Partner closely with Compliance, Technology, custodial partners, and business stakeholders to drive operational excellence, risk management, and an exceptional advisor and client experience.

Responsibilities

• Manage the firm’s Best Execution responsibilities for both the RIA and BD, including vendor relationship ownership, trading desk tasks, reviews, and compilation of quarterly scorecards for Park Avenue committee review.
• Oversee the firm’s implementation of Pershing’s trading rules system, the Enterprise Rules Engine (ERE), including managing approved products, system integrations, compliance interactions, and client impact assessments.
• Ensure compliance of the firm's trade-related regulatory reporting for all security types (equity, options, fixed income, alternatives, FX).
• Manage the trade correction intake, review, approval, and monitoring process for both the RIA and BD business.
• Oversee the margin process for both the RIA and BD business.
• Manage trading in proprietary portfolios within the Digital RIA, Vestwise.
• Oversee trading executions within the Orion system for the separate RIA, Park Avenue Advisory.
• Manage the firm’s trading house accounts, including processes for review and monitoring of 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.
• Oversee the email intake of issues to the trading operations group.
• Lead the collection, management, and dissemination of operational metrics, including goal setting, monitoring, and reporting to management.
• Administer, develop, and present key metrics and reporting for various platforms (meetings, conferences, SLT).
• Oversee and inspire a high-performing team through coaching, training, and development feedback to drive employee engagement.
• Monitor schedule adherence and behaviors to ensure team members are effectively serving clients.
• Manage Team Procedures Reviews and Attestations, ensuring finalized written operational procedures and regular review 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 with strong wealth management trading knowledge.
• Ability to interact with all levels of the organization.
• Self-starter with the ability to work without direct supervision.
• FINRA Series 7, 63/65 or 66, 4, 24, 51, 53 licenses.

Preferred Qualifications

• 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.

Pay

Salary range: $103,450.00 - $169,960.00. The salary for this position will be determined based on education, experience, knowledge, and abilities of the successful candidate. In addition to salary, this role may be eligible for annual, sales, or other incentive compensation.

Benefits

Guardian offers contemporary, supportive, flexible, and inclusive benefits and resources, including skill-building, leadership development, and philanthropic opportunities. Benefits apply to full-time eligible employees and include:

• Comprehensive health, dental, and vision plans.
• Retirement savings plans with company contributions.
• Paid time off and flexible work arrangements.
• Wellness programs and resources.
• Professional development and career growth opportunities.

Explore full benefits details at Guardian’s careers page.