Head of Trade Surveillance and Best Execution

Company Name: tastytrade
Role: HeadofTrade Surveillance and Best Execution
Location: Chicago IL - Hybrid (3 days/week in office)
Licensure: FINRA Series4724 and 63(or equivalents)

Come join a cross-functional team dedicated to protecting clients and the firm by ensuring trades are supervised fairly executed and accurately reported.You will own the end-to-end best execution and trade surveillance program for the broker-dealer helping the business meet regulatory expectations while supporting scalable growth.You will work closely with Trading Desk Operations Compliance Technology and Finance to design controls analyze execution quality and resolve complex trading issues.Your work will turn trading data venue analytics and surveillance outputs into clear actions reports and process improvements that directly influence senior management decisions.

WhatYoullDo:

• ProgramOwnership:Lead the best execution program whilecontinuously improving the firms trade surveillance and best execution frameworks policies and proceduresincluding venue analysis routing reviews and regular execution quality assessmentsand reportsunder FINRA Rule 5310.
• Trade Management Operations:Manage trade management operations across the trade lifecycle (capture allocation corrections breaks) ensuringaccurateandtimelyprocessing and recordkeeping.
• Technology &Systems:Leveragingautomated surveillance systems data analytics and emerging technologies tomonitorand analyze trading activity more would include tuning alert logicmanagingsurveillance platforms and working closely with engineering.
• RegulatoryInterface:Own trade-and execution-related regulatory reporting (e.g. CAT/CAIS FINRA trade reporting facilities and where applicable Rules 605/606 disclosures).
• TeamLeadership:Coordinating acrosscompliance legal and trading desks and reporting to senior management and regulatorswhile managing aMarketStructure andOrderRoutingSpecialist.
• Policy &Procedure:Ensuring the firms written supervisory procedures (WSPs) reflect current regulatory expectations and actual and enhancewritten supervisory procedures management reports and committee materials that document reviews decisions and remediation.
• Projects:Partner on projects and system changes involving OMS/EMS surveillance platforms and data feeds including testing calibration and control design.

Who You Are:

• Bachelors degree in Economics Business Finance Accounting or related field (or equivalent work experience).
  
• FINRA Series4724 and 63(or equivalents).
• 7-10years of experience in broker-dealer trade surveillance best execution trading operations or trade compliance.
• Strong working knowledge of FINRA Rules 5310 and 3110 SEC execution and reporting rules and broker-dealer supervisory frameworks.
• Experience with trade surveillance and reporting platforms and OMS/EMS systems plus strong data skills using tools such asTableauand SQL or similar analytics.
• Experience with managing relationships with marketmanagersandcounterparties
• Ability to interpret complex trading and venue data communicate findings clearly in writing and verbally and influence stakeholders across trading operations risk legal and compliance.
• High integrity attention to detail and a control mindset with comfort working in a fast-paced regulated trading environment and managing competing priorities.

Company Perks Benefits:

• Performance Bonuses
• Stock Purchase Options
• 401k Plan
• Medical/Dental/Vision Benefits
• 20 Paid Vacation Days (plus an additional paid vacation day the month of your birthday!)
• 10 Paid Sick Days
• Gym Membership Reimbursement
• Commuter Benefits
• Pet Insurance
• Wellness & Mental Health Programs
• Charitable Donation Matching
• Two Paid Volunteer Days Off
• Daily catered lunch when in the office
• Full kitchen with snacks and beverages
• In-building gym
• Shuttle to/from Metra

Salary Range: $170000 - $190000
The actual salary offered will be based on the candidates level of experience and qualifications

Discretionary performance bonus: 15-20%of base salary based on individual and company performance

About IGNAtasty
IG North America is home totastytradetastylivetastyfx andtastycryptoa family of brands built to democratize trading and empower individual in Chicago bythe creators ofthinkorswimacquiredby London-based IG Group in 2021 we combine startup innovation with the backing of a global fintech leader with 50 years of experience.

From our headquarters in Chicagos Fulton Market our team builds award-winning trading platforms produceslive financial educationcontentdaily and creates technology that makes complex markets retail brokerage forself-directed investing and tradingwithtastyliveprovidingcontent to educate our the fastest-growing forex broker in the self-custody digital wallets for decentralized finance.

Werea lean collaborative team that values autonomy pragmatism and impact. Whetheryourebuilding technology creating content serving customers or supporting operationsyoullwork alongside people who are passionate about disrupting traditional finance and genuinely care about helping traders succeed. Our culture rewards initiative embraces experimentation and measures success by the value we create for our users.

Location:Our office is in the West Loop - Chicagos growing center of tech great cuisine and high-end bars.

tastytrade tastylive tastyfx tastycrypto
1330 W Fulton Market Chicago IL 60607

*Dont meet every single requirement Studies have shown that women and people of color are less likely to apply to jobs unless they have every single qualification. Our team is dedicated to building a diverse inclusive and authentic workplace so ifyoureexcited about thisrolebut your experiencedoesntalign perfectly we encourage you to apply anyway. You may be just the right candidate for this or other roles!