Head of Trade Surveillance and Best Execution

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.

Requirements

• Program Ownership: Lead the best execution program while continuously improving the firm's trade surveillance and best execution frameworks, policies, and procedures
• Trade Management Operations: Manage trade management operations across the trade lifecycle (capture, allocation, corrections, breaks)
• Technology & Systems: Leveraging automated surveillance systems, data analytics, and emerging technologies to monitor and analyze trading activity more effectively
• Regulatory Interface: Own trade-and execution-related regulatory reporting
• Team Leadership: Coordinating across compliance, legal, and trading desks
• Policy & Procedure: Ensuring the firm's written supervisory procedures reflect current regulatory expectations and actual practice
• Projects: Partner on projects and system changes involving OMS/EMS, surveillance platforms, and data feeds

Benefits

• Performance Bonuses
• Stock Purchase Options
• 401k Plan
• Medical/Dental/Vision Benefits
• 20 Paid Vacation Days
• 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