Trade Support Manager

About the Role

Leads a Trade Support & Order Management team within the Equities, ETFs, & Options department, responsible for pre-trade review of customer orders, researching and resolving trading disputes, and oversight of key trading controls. The ideal candidate will display expertise or interest in brokerage trading and operations along with experience in leading a team.

Responsibilities

• Hires, evaluates, and supervises team members.
• Provides guidance and training to develop the team.
• Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
• Reviews team operations to ensure efficiency and compliance with industry regulations.
• Develops processes and procedures to improve operational effectiveness in relation to brokerage functions.
• Conducts regulatory supervision of both registered and associated team members and the functions they support and/or execute.
• May own various written supervisory procedures to ensure compliance with regulations.
• Manages complex elevated client issues and oversees resolution of errors.
• Mitigates risk by appropriately prioritizing resolutions when errors arise.
• Develops and uses expert knowledge of multiple trading operation platforms to ensure appropriate handling of trade corrections.
• Builds upon in-depth knowledge of compliance, regulatory, and departmental policies and procedures to guide the team.
• Maintains awareness of departmental and regulatory changes.
• Builds strong partnerships with business partners across the department to ensure appropriate feedback is provided when errors occur.
• Utilizes these partnerships to mitigate further risk and error volumes through active problem solving and introduction of controls.
• Manages delivery of project initiatives.
• Leads staff to achieve established goals by overseeing resource allocation and implementing timelines, schedules, and statistical data.
• Participates in special projects and performs other duties as assigned.

Requirements

• Minimum of five years of related work experience, with two years of brokerage experience.
• Undergraduate degree or equivalent combination of training and experience.
• This role requires regulatory licenses and/or registrations (e.g., FINRA, state, SFC), determined by Compliance based on role-specific duties.
• Series 7 and Series 63 licenses are required prior to being hired.
• Series 24 and Series 4 licenses are required but may be obtained post-hire.

Vanguard is not offering visa sponsorship for this position.

About Vanguard

At Vanguard, we don't just have a mission—we're on a mission: to work for the long-term financial wellbeing of our clients, lead through products and services that transform our clients' lives, and learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.

How We Work

Vanguard has implemented a hybrid working model for the majority of team members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.