Trading and Operations Manager

The Manager of Trading and Operations will play a critical role in overseeing the trading and operational aspects for IAA’s advisor network. This position is responsible for executing and improving the trading processes, ensuring compliance with industry regulations, and managing operational workflows to optimize advisor support. This role requires a blend of technical trading expertise, operational acumen, and a strong understanding of compliance standards in the RIA space. This role offers an opportunity to collaborate with various internal teams, such as Compliance, Technology, and Advisor Support, to deliver consistent and accurate trading operations.

Specifics Areas Of Responsibility Include, But Are Not Limited To:

• Execute and oversee daily trading activities, ensuring accuracy, efficiency, and compliance.
• Develop and refine operational processes to enhance trading and back-office support.
• Support advisors with trading-related inquiries and ensure adherence to trading guidelines.
• Partner with IAA’s Compliance team to ensure trading activities align with regulatory standards.
• Collaborate with the Technology team to troubleshoot and enhance trading systems and tools.
• Maintain awareness of industry regulations, technology advancements, and best practices in trading operations.
• Provide hands-on support during peak trading periods and resolve escalated trading and operational issues promptly.
• Identify opportunities for operational efficiencies and implement best practices in trading workflows.