FINRA Licensed Director of Trading

A company is looking for a Director of Trading & Risk to lead trading operations, market risk management, and regulatory compliance.

Key Responsibilities

Oversee secondary trading activities and ensure accurate execution, clearing, and settlement of transactions

Develop and maintain a comprehensive risk framework tailored to digital securities trading

Partner with Compliance and Legal teams to ensure adherence to regulatory requirements and oversee trade surveillance programs

Required Qualifications

8-12 years of experience in trading operations, risk management, or market structure

Requisite FINRA licensing (S7, S24, S55 / 57 at a minimum)

Deep understanding of securities trading workflows including order management and settlement

Hands-on experience in building or managing risk frameworks for trading environments

Strong grasp of regulatory regimes under SEC, FINRA, and NFA