Trading Operations Consultant

The Opportunity

The Trading Operations Consultant (Principal) will administer the reporting requirements, both regulatory and supervisory controls, of the Trade Desk. The ideal candidate will have a strong background fixed income and equity trade reporting (TRACE, RTRS, CAT, TRF), excellent technical skills, and a proven history of supporting trading operations. The Trading Operations Consultant will maintain and develop regulatory reporting solutions/controls to meet the firms regulatory reporting and Reg T requirements. Additionally, the Trading Operations Consultant will perform and develop controls to ensure all operations comply with applicable regulatory requirements, industry best practices, and internal policies.

The Team

The MMLIS Trading team is collaborative, well-synched and communicates closely to support each other. There is rapport, efficiency and humor embedded in the team with a diverse group of individuals that provide mentorship and collaboration across all levels. The team excels in agility, business acumen, communication, and leadership.

The Impact

• Following internal procedures, perform and/or review daily and monthly control reports to ensure compliance with trading internal controls
• Daily monitoring and problem resolution associated to FINRA CAT, TRF/ORF, FINRA TRACE, & MSRB RTRS. Maintain and develop regulatory reporting solutions/controls to meet the firms’ reporting requirements.
• On a rotating basis, perform daily margin reporting and communications.
• Collaborate with traders, and back-office teams to resolve trade-related issues and discrepancies.
• Conduct regular reviews of trading operations processes and workflows, identifying areas for improvement and implementing best practices.

• Ensure compliance with all relevant regulations and internal policies, maintaining a high standard of operational risk management. Identifying and mitigating operational risks.
• Support regular compliance testing and monitoring of trading policies and procedures

• Assist with system changes and upgrades.
• Draft, review, and revise manuals, policies, written supervisory procedures, and other documents.
• In addition to daily support, the candidate will work on enhancing processes or implementing new ones to streamline workflows for the trading desk.

Minimum Qualifications

• 7+ years’ experience in middle office, regulatory reporting, or compliance role within a broker/dealer
• Series 7/ 24 required at time of hire
• Bachelor’s degree in finance, Economics or Related Field

Preferred Qualifications

• Obtain Series 4 / 53 within 180 days
• Willingness to pursue FINRA Series 99 registration within 6 months
• Strong leadership skills through a collaborative team approach
• Strong technical skills. Experience with custodial platforms and trading platforms. Proficiency in EXCEL.
• Ability to coach others in a fast-paced environment
• Strong problem-solving skills
• Demonstrates curiosity
• Resilient in a challenging, fast-paced environment

What to Expect as Part of MassMutual and the Team

• Regular meetings with the MMLIS Trading Team
• Focused one-on-one meetings with your manager
• Access to mentorship opportunities
• Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran and disability-focused Business Resource Groups
• Access to learning content on Degreed and other informational platforms
• Your ethics and integrity will be valued by a company with a strong and stable ethical business with industry leading pay and benefits

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MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status.

If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.