Team Lead overseeing commercial vehicle inventory, sales, compliance, and customer operations for OPENLANE’s digital wholesale marketplace. Managing service levels, team quality, reporting, and repossession redemptions.
About the role
- Trading Operations Lead scaling trading controls and brokerage operations for Mercury’s startup finance platform. Overseeing surveillance, reporting, reconciliations, regulatory readiness, and partner relationships.
Responsibilities
- Own the trading operations and supervisory framework for Mercury’s SEC-registered investment advisor and FINRA-member broker-dealer
- Provide licensed principal oversight of order and trade activity across money market funds, mutual funds, ETFs, and fixed income
- Oversee operational controls, reconciliations, exceptions, escalations, trade surveillance, best execution monitoring, trade breaks and errors, and remediation
- Supervise trading and order-flow reporting obligations, including CAT, CAIS, TRACE, SEC Rules 606 and 607, and FINRA Rule 6151
- Provide supervisory review of customer account statements and trade confirmations
- Coordinate investigation and resolution of trade errors, breaks, and settlement issues across Engineering, Product, Compliance, and external partners
- Oversee trading-related books and records requirements
- Maintain trading operations procedures and contribute to Written Supervisory Procedures
- Lead readiness for regulatory exams, audits, and internal testing
- Manage operational relationships with carrying brokers, executing brokers, custodians, fund companies, and transfer agents
- Partner with Product and Engineering on system-managed trading workflows, controls, requirements, exceptions, and operational readiness
- Build reporting and operational visibility for volumes, breaks, errors, aging exceptions, settlement performance, and control effectiveness
- Partner with Compliance, Finance, Legal, Risk, Product, and Engineering on new products, partners, and regulatory changes
Requirements
- Active FINRA Series 7, Series 63, and Series 24 licenses required
- 8+ years in trading, brokerage, or investment operations, including direct ownership of trade lifecycle, settlement, or trading control functions
- Hands-on operational experience across fixed income, mutual funds, and ETFs
- Experience building or materially improving a trade surveillance or operational control framework
- Strong working knowledge of operational requirements under FINRA and SEC rules, including recordkeeping, supervision, best execution, trade reporting, and customer protection
- Clear written communication for procedures, escalations, and post-mortems
- Comfort operating in ambiguity and at speed, and willingness to design processes
- Judgment about when to automate, add a control, or accept a manual step
- Series 99 or Series 57 license a plus
- Experience at a fintech or high-growth firm operating a broker-dealer or RIA at scale is nice to have
- Experience standing up a new product, partner, or clearing relationship from scratch is nice to have
- Comfort with SQL or working directly in internal tooling is nice to have
Benefits
- Base salary
- Equity (stock options/RSUs)
- Benefits
- Reasonable accommodations throughout the recruitment process for applicants with disabilities or special needs
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