Related skills
sql tableau oms/ems📋 Description
- Lead the end-to-end best execution and trade surveillance program (FINRA 5310).
- Collaborate with Trading Desk, Ops, Compliance, Tech, and Finance to design controls.
- Turn trading data and venue analytics into clear reports for senior management.
- Own regulatory reporting (CAT/CAIS, FINRA) and related disclosures.
- Drive policy, procedures, and tools across OMS/EMS and surveillance platforms.
🎯 Requirements
- Bachelor's degree in Economics, Business, Finance, or related field (or equivalent).
- FINRA Series 4, 7, 24, and 63 (or equivalents).
- 7-10 years in broker-dealer trade surveillance, best execution, ops, or trade compliance.
- Strong knowledge of FINRA 5310/3110, SEC rules, and supervisory frameworks.
- Experience with trade surveillance and reporting platforms and OMS/EMS; Tableau and SQL.
- Ability to interpret complex trading/venue data and influence stakeholders.
🎁 Benefits
- Performance bonuses
- Stock purchase options
- 401k plan
- Medical/Dental/Vision benefits
- 20 paid vacation days
- 10 paid sick days
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