Operations Manager, Trading & Regulatory Compliance

What You'll Do

Trading Operations & Platform

• Conduct daily platform health checks across MT5, TradingView, ProRealTime, and the tastyfx proprietary platform, confirming all markets are online and systems performing as expected
• Review and assess overnight incidents each morning: determine tastyfx impact, evaluate reportability as a market event, and escalate major incidents to appropriate stakeholders
• Serve as first responder for execution anomalies, stale pricing events, order server issues, and platform outages, owning resolution before escalation to MD
• Liaise with IG Group core dealing and pricing teams to coordinate response on new or ongoing incidents
• Process trade corrections, cash adjustments, and account-level remediations for customers affected by trading incidents
• Investigate trade disputes flagged internally, by clients, or by the NFA; produce clear documentation of findings and resolution
• Monitor clients on margin call and identify large or systemic margin call situations requiring escalation
• Support ongoing MT4-to-MT5 migration: track account progress, coordinate with platform teams on version updates, and flag client-impacting issues
• Maintain operational runbooks, escalation procedures, and SLAs for incident response and resolution
• Track and analyze operational risk events (OREs); implement corrective actions to prevent recurrence and prepare monthly ORE reports

Regulatory & Compliance Operations

• Own end-to-end drafting of all NFA incident reports and regulatory correspondence, with MD review and sign-off
• Produce accurate, formal root cause analyses by coordinating with dealing, pricing, and platform teams following any reportable incident
• Perform nightly review of the NFA Discrepancy Report and morning review of the NFA Processing Report; investigate and resolve flagged discrepancies or errors
• Manage daily and periodic margin compliance monitoring across all active platforms (including NFA minimum margin rates and points-based systems), flagging anomalies and escalating appropriately
• Support regulatory examinations and audits by providing operational documentation and responding to regulatory inquiries
• Build and maintain internal SOPs for all operations functions, reducing institutional knowledge concentration risk
• Track NFA/CFTC rule developments and assess operational impact; brief MD on compliance implications ahead of effective dates

Capital & Liquidity Management

• Monitor the JPMorgan credit line on an intraday basis, tracking capital charge usage and flagging utilization concerns to the MD ahead of threshold breaches
• Own oversight of tastyfx's capital charge obligations resulting from the IG Markets relationship, ensuring charges are accurately calculated, tracked, and reported
• Coordinate with IG Group treasury and finance teams on capital charge reporting, reconciliations, and any disputes
• Maintain internal documentation of capital charge methodology, agreements, and any changes to the calculation framework
• Review the BMO returns email and debit report daily; identify and escalate client debt positions as appropriate

Payment Rails & Funding Operations

• Own day-to-day oversight of all payment rails (ACH, wire, debit card, and any emerging funding methods), ensuring uptime, accuracy, and timely settlement
• Identify and triage payment processing failures or delays; coordinate with providers (WorldPay, ACH processors, banking partners) to resolve issues promptly
• Proactively optimize payment rails to reduce client funding friction, analyzing drop-off points, failure rates, and processing times to surface improvement opportunities
• Monitor ACH reversal and fraud exposure across funding channels; escalate patterns and coordinate remediation with compliance and onboarding teams
• Evaluate new payment methods and fintech integrations that could improve conversion or reduce cost; present recommendations to MD
• Maintain SOPs for all payment operations workflows and ensure contingency procedures are documented and tested

Data Management & Reporting

• Analyze operational data (including order IDs, fortress files, trade data, and platform metrics) to identify trends and improvement opportunities
• Develop and maintain reporting frameworks to track operational KPIs; present insights to MD and leadership on a regular cadence
• Run the monthly trade count report and support VBR approval processes
• Review monthly new account bonus activity and confirm timely payment processing
• Check AO Stats for conversion performance and monitor AO queues for processing backlogs
• Monitor interest paid to Prime clients monthly and flag anomalies

Process Improvement & Operational Efficiency

• Continuously identify opportunities to reduce manual intervention: if a process is overtly manual, evaluate automation or streamlining options
• Implement operational controls and quality assurance measures to minimize errors and operational risk
• Coordinate business continuity planning and disaster recovery testing; ensure operational resilience through redundancy procedures
• Lead and contribute to ad hoc projects that support business growth, operational efficiency, or regulatory readiness
• Provide data and project progress updates to the wider business as required

Who You Are

• Bachelor's degree required
• 3–5 years in trading operations, dealing desk support, or platform operations at an NFA/CFTC-regulated firm (RFD, RFED, or FCM)
• Licensure: Series 3 and 34 preferred; must be willing to obtain if not currently held
• Hands-on MT4 or MT5 platform administration experience
• Direct exposure to NFA regulatory filings, examination support, or compliance documentation
• Strong written communication: able to produce precise, formal regulatory documents under time pressure
• Comfort operating in a fast-moving environment with real-time incident triage and a varied daily workload

Preferred Qualifications

• Experience managing capital charge obligations or regulatory capital reporting at a broker-dealer or FCM
• Hands-on experience with payment rail management (ACH, wire, debit card) and payment processor relationships
• Experience coordinating with a prime broker, liquidity provider, or parent dealing desk
• Familiarity with TradingView broker integration, Alloy, Plaid, WorldPay, or similar infrastructure
• Working knowledge of retail forex margin rules, margin mechanics, and NFA net capital requirements

Company Perks + Benefits

• Performance Bonuses
• Stock Purchase Options
• Medical/Vision/Dental Benefits
• 401k Plan
• 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