Head of Trade Surveillance and Best Execution

Head of Trade Surveillance and Best Execution role at tastytrade. Responsible for leading the best execution program, managing trade management operations, and ensuring accurate and timely processing and recordkeeping. Works closely with Trading Desk, Operations, Compliance, Technology, and Finance to design controls and analyze execution quality.

Requirements

• FINRA Series 4,7,24, and 63 (or equivalents)
• Bachelor's degree in Economics, Business, Finance, Accounting, or related field (or equivalent work experience)
• 7-10 years 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 as Tableau and SQL or similar analytics
• 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

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