# Trading Operations Lead

**Company**: Mercury
**Location**: San Francisco, CA
**Experience**: senior
**Job type**: full-time
**Category**: Finance
**Industry**: Finance

**Apply**: https://job-boards.greenhouse.io/mercury/jobs/6192352004?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_2f83005f-3d8

## Description

Mercury is seeking a Trading Operations Lead to own and scale the trading operations function powering Mercury's SEC-registered investment advisor and FINRA-member broker-dealer.

In this role, you will:

- Own the trading operations and supervisory framework, providing licensed principal oversight of order and trade activity across money market funds, mutual funds, ETFs, and fixed income.

- Own the trade surveillance and operational control framework, including licensed supervisory review where required.

- Own supervision of trading and order-flow reporting obligations, including CAT, CAIS, and TRACE.

- Serve as the operational escalation point for trade errors, breaks, and settlement issues.

- Oversee trading-related books and records requirements.

- Own and maintain trading operations procedures and contribute to applicable Written Supervisory Procedures.

- Lead trading operations readiness for regulatory exams, audits, and internal testing.

- Manage day-to-day operational relationships with our carrying broker, executing brokers, custodians, fund companies, and transfer agents.

- Partner closely with Product and Engineering on system-managed trading workflows and controls.

- Build the reporting and operational visibility needed to oversee the trading function.

- Partner with Compliance, Finance, Legal, Risk, Product, and Engineering on new products, partners, and regulatory changes.

You should:

- Hold active FINRA Series 7, Series 63, and Series 24 licenses.

- 8+ years in trading, brokerage, or investment operations.

- Have hands-on operational experience across fixed income, mutual funds, and ETFs.

- Have built or materially improved a trade surveillance or operational control framework.

- Possess a strong working knowledge of the operational requirements under FINRA and SEC rules.

- Communicate clearly in writing.

- Be comfortable operating in ambiguity and at speed.

- Bring judgment about when to automate, when to add a control, and when to accept a manual step.

## Skills

### Required
- FINRA Series 7
- FINRA Series 63
- FINRA Series 24
- trading operations
- investment operations
- SEC rules
- FINRA rules

### Nice to have
- SQL
- internal tooling
- fintech
- high-growth firm
- broker-dealer
- RIA

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Source: [Apply at job-boards.greenhouse.io](https://job-boards.greenhouse.io/mercury/jobs/6192352004?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)