Trading Compliance Manager

Vaco is partnering with a client in Tempe, AZ to hire a Trading Compliance Manager. In this role, you will manage a team of trading specialists that handle incoming calls and online service tickets related to trades executed by financial advisors, ensuring all transactions are processed accurately and efficiently within the system.

The ideal candidate will hold an active Series 7, Series 24 and Series 63 or 66 license and will have at least 2 years of leadership experience.

This is a direct-hire, hybrid opportunity offering up to $100,000 annually plus bonus. The client is hiring immediately!

• Oversee the Trading Operations Team, ensuring service excellence, accuracy, and regulatory compliance.
• Manage daily trading operations, including trade processing, corrections, collateral reviews, alternative investments, restricted stock, and related activities.
• Partner with the Sr. Operations Principal and Compliance to stay current on regulatory changes and implement necessary updates.
• Lead and coach team members to enhance performance, professional growth, and overall service quality to financial professionals.
• Identify opportunities to streamline and improve operational processes and procedures.
• Collaborate with financial professionals and internal teams to resolve issues and optimize platform use for client needs.

• An understanding of the regulatory requirements, within the areas of responsibility, of an independent broker dealer.
• Working knowledge of National Financial Services (NFS)
• Thorough knowledge of Alternative Investments and securities backed lending
• Public Speaking
• Problem Solving and Prioritization

Determining compensation for this role (and others) at Vaco/Highspring depends upon a wide array of factors including but not limited to the individual’s skill sets, experience and training, licensure and certifications, office location and other geographic considerations, as well as other business and organizational needs. With that said, as required by local law in geographies that require salary range disclosure, Vaco/Highspring notes the salary range for the role is noted in this job posting.

The individual may also be eligible for discretionary bonuses, and can participate in medical, dental, and vision benefits as well as the company’s 401(k) retirement plan.