Similar Jobs
See allTrading Operations Lead
Mercury
United States
Brokerage Operations
Process Improvement
SVP of Marketing
Partner Company
US
B2B Marketing
Brand Strategy
Content Marketing
Trading Operations Associate
Alpaca
US
Customer Support
Relationship Management
Senior Director, Regulatory Strategy & Readiness
Empower
US
Regulatory Compliance
Risk Management
Strategic Planning
Chief Investment Officer / Head of Investments
StartEngine
Global
Portfolio Management
Financial Modeling
Regulatory Compliance
Role Overview:
- Lead launch and growth of a newly established ETF distribution and statutory underwriting business.
- Own regulatory approval, operational launch, and long-term scale.
Key Responsibilities:
- Oversee FINRA New Membership Application, governance, and controls.
- Transition distribution and marketing compliance from an external provider.
Requirements:
- 15+ years in broker-dealer operations and FINRA-registered entities.
- Direct ETF distribution and statutory underwriting experience required.
Not Disclosed
They are establishing a new ETF distribution and statutory underwriting business within a regulated financial-services environment. The company is in a launch phase, building its operating model, governance, and team in a lean, evolving setting.