Trade Reporting and Margin Team Leader

Guardian Life

Guardian trading operations leader overseeing regulatory reporting, controls, margin, and execution governance. Leading BD/RIA processes and team performance across wealth management operations.

Posted 8/24/2026full-timeBethlehem • New York • 🇺🇸 United StatesSenior💰 $103,450 - $169,960 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in trading operations governance, regulatory reporting, and best execution management within Broker-Dealer and Registered Investment Advisor environments. Proven ability to lead teams, manage vendor relationships, and ensure compliance with trading regulations and operational procedures.

Highest-signal resume keywords

Trading Operations GovernanceRegulatory ReportingBest Execution ManagementFINRA Series 7, 63/65 or 66, 4, 24, 51, 53Wealth Management Trading Knowledge

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Trading OperationsRegulatory ComplianceTrade ExecutionOperational Metrics ManagementTrade Correction ProcessesMargin Processes ManagementSystem IntegrationProject Management PrinciplesVendor Relationship ManagementCustomer Service in Financial Services

Soft Skills

Organizational SkillsTime ManagementTeam LeadershipCommunication SkillsInterpersonal Skills

Tools & Technologies

PershingFidelityCharles SchwabOrionEnvestnetICapital

Certifications & Qualifications

FINRA Series 7FINRA Series 63FINRA Series 65FINRA Series 66FINRA Series 4FINRA Series 24FINRA Series 51FINRA Series 53

Industry Keywords

Broker-DealerRegistered Investment AdvisorEquity TradingOptions TradingFixed Income TradingAlternative InvestmentsFX TradingWealth ManagementTAMP TechnologyHigh Touch Customer Service

About the role

Key responsibilities & impact

Lead the firm's trading operations governance, regulatory reporting, and trading control framework across Broker-Dealer and Registered Investment Advisor businesses
Manage Best Execution responsibilities, trading desk tasks, reviews, vendor relationship ownership, and quarterly scorecards
Manage implementation and operation of Pershing's Enterprise Rules Engine, including approved products, system integrations, Compliance approvals, and client/advisor messaging
Oversee trade-related regulatory reporting for equity, options, fixed income, alternatives, and FX
Manage trade correction intake, review, approval, and monitoring
Manage margin processes for RIA and BD businesses
Manage trading in proprietary portfolios with Digital RIA, Vestwise
Manage trading executions within Orion for Park Avenue Advisory
Manage trading house accounts and review/monitor trade reject, error, average price, and allocation accounts
Manage Review and Release processes for equity, fixed income, and mutual fund orders
Manage group email issue intake
Manage operational metrics collection, administration, communication, presentation, goal setting, and monitoring
Oversee and develop a high-performing team through coaching, training, contact listening, feedback, and engagement
Monitor schedule adherence and behaviors
Ensure written operational procedures are finalized, regularly reviewed, and attested

Requirements

What you’ll need

5-10 years’ experience in financial services, preferably at a Broker Dealer (BD) or Registered Investment Advisor (RIA) in a trading operations role
Outstanding organizational and time management skills
Experience managing small teams and processes
Minimum of 2-3 years of high touch customer service or operations experience, specifically with strong wealth management trading knowledge and background
Ability to interact with all levels of organization
Ability to work without direct supervision
FINRA Series 7, 63/65 or 66, 4, 24, 51, 53
Familiarity with custodial systems such as Pershing, Fidelity, and Charles Schwab
Familiarity with alternative investments tech platforms such as iCapital
Knowledge of TAMP technology trading processes (Orion and Envestnet)
Trade execution or reporting background
Familiarity with project management principles
Must be legally authorized to work in the United States without employer sponsorship/support now or in the future

Benefits

Comp & perks

Skill-building opportunities
Leadership development
Philanthropic opportunities
Contemporary, supportive, flexible, and inclusive benefits and resources
Benefits for full-time eligible employees