Trading Operations Manager

6 days ago

CO United States Charles Schwab Corporation Full time
About the Role

We are seeking a highly skilled and experienced Trading Operations Manager to join our team at Charles Schwab Corporation. As a key member of our Trading Operations Department, you will play a critical role in ensuring the integrity of our trading operations and protecting our clients and the firm from potential risks.

Key Responsibilities
  • Trade Error Resolution: Investigate and resolve trade errors, including filing, resolution, and documentation of all trading fraud events.
  • Reconciliation of Fraudulent Trade Events: Reconcile fraudulent trade events, including tracking trade details, account elements, and market conditions of the fraud event, covering any exposed positions, compiling statistics to be used in fraud detection research, and reconciling error account activity.
  • Oversight and Monitoring: Oversee and monitor the reconciliation of internal accounts, ensuring accuracy and completeness of all transactions.
  • Reporting Reviews: Conduct supervisory oversight for reporting reviews, ensuring compliance with regulatory requirements and firm policies.
  • Research and Support: Support research for inquiries received by Compliance, providing expert analysis and recommendations to ensure accurate and timely responses.
  • Process Improvement: Collaborate with business partners to identify and implement process and system improvements, promoting effective controls and risk management practices.
Requirements
  • Regulatory Knowledge: Familiarity with regulatory reporting bodies (FINRA, NASDAQ, SEC) and strong analytical skills to research sophisticated regulatory submissions/inquiries.
  • Risk Awareness: Excellent risk awareness and attention to detail to accurately identify potential impact to the firm (either regulatory risk or unresolved risk due to fraud activity).
  • Communication Skills: Strong verbal and written communication skills, with the ability to build and maintain close working relationships with internal partners and stakeholders.
  • Interpersonal Skills: Strong interpersonal skills, with the ability to work collaboratively in a dynamic setting and adapt to changing priorities.
  • Technical Skills: Excellent computer skills and knowledge of Microsoft Office and Access database, with the ability to work independently with minimal guidance/training.
Preferred Qualifications
  • Industry Experience: 5+ years of experience in the financial services industry, with a focus on trading operations and risk management.
  • Reconciliation Experience: 3+ years of experience with account reconciliation and trade resolution, including experience with fraud review/reconciliation and reporting.
  • Regulatory Certifications: Series 7, 63, 9/10, or 24, 57 certifications, with a strong understanding of industry regulations and regulatory bodies.

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