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 HR policies and procedures.
• Reviews team operations to ensure efficiency and compliance with industry regulations.
• Develops processes and procedures to improve operational effectiveness in brokerage functions.
• Conducts regulatory supervision of registered and associated team members and their functions.
• 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 to guide the team.
• Maintains awareness of departmental and regulatory changes.
• Builds strong partnerships with business partners across the department to provide feedback when errors occur and mitigate further risk through problem-solving and controls.
• Manages delivery of project initiatives, including resource allocation and implementation of 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.
• Regulatory license and/or registration (e.g., FINRA, state, SFC) required, determined by Compliance based on role-specific duties.
• Series 7 and Series 63 licenses required prior to hire.
• Series 24 and Series 4 licenses 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. To lead through products and services that transform our clients' lives. To 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.