Execution of Written Supervisory Procedures to comply with all SEC and FINRA rules

Order entry and trade execution of equity and option orders

Resolution of trade inquiries

Monitor trading activity, firm accounts, corporate actions, and identify and resolve problems associated with trades

Monitor health of routing systems and Venues, and interact with Venues as required

Coordinate response for system, trading, and communications (SEV) related issues.

Engage with cross functional teams (Product, Engineering, Compliance) on product development and problem solving.

Bachelor’s Degree or equivalent work experience

3-5 years working in a broker-dealer operations/trading environment

FINRA Series 7 required

FINRA 57 license required

Strong understanding of brokerage operation functions

Trading Specialist

Responsibilities