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Responsibilities:
- 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; oversee operational controls, reconciliations, exceptions, and escalations.
- Own the trade surveillance and operational control framework, including licensed supervisory review, oversight of pre- and post-trade controls, best execution monitoring, trade breaks and errors, and escalation and remediation.
Requirements:
- Hold active FINRA Series 7, Series 63, and Series 24 licenses (Series 99 or Series 57 a plus).
- 8+ years in trading, brokerage, or investment operations, including direct ownership of trade lifecycle, settlement, or trading control functions.
Nice to Have:
- Experience at a fintech or high-growth firm operating a broker-dealer or RIA at scale.
- Experience standing up a new product, partner, or clearing relationships from scratch.
- Comfort with SQL or working directly in internal tooling to investigate issues yourself.
Mercury
Mercury is building a complete finance stack for startups, providing banking and financial services. The company values diversity and belonging, and offers a competitive total rewards package including base salary, equity, and benefits.