2 jobs for "Global Trade Compliance Lead"

Director of Operations - P&S and Options

At Broadridge - Newark · Edgewood

Posted on Oct 6

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Vice President - Trade & Working Capital Operations

At JPMorgan Chase - Tampa

Posted on Aug 18

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Broadridge

Director of Operations - P&S and Options

Newark, NJ · Edgewood, NYOperations$150,000 – $175,000Posted Oct 6, 2026

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At Broadridge, we've built a culture where the highest goal is to empower others to accomplish more. If you're passionate about developing your career, while helping others along the way, come join the Broadridge team.

Position Summary

We are seeking an experienced and strategic leader to oversee our Global Trade Support Operations. This role is responsible for managing the day-to-day support of global trading activities across Equity, Fixed Income, and Options markets while ensuring operational excellence, regulatory compliance, risk management, and exceptional client service. The successful candidate will drive continuous process improvement, lead a high-performing global team, and partner with internal stakeholders to enhance operational efficiency and scalability.
Key Responsibilities

• Lead the Global Trade Support Operations function supporting Equity, Fixed Income, and Options trading activities across global markets.

• Oversee daily and weekly Options expiration processing, including monthly Saturday expirations, ensuring timely and accurate execution.

• Review daily operational exception volumes, prioritize issues, and drive timely resolution through appropriate escalation and follow-up.

• Evaluate and enhance the Operational Risk Framework to ensure effective controls, regulatory compliance, and risk mitigation.

• Manage day-to-day client relationships, ensuring service level agreements (SLAs) are consistently achieved and client expectations are exceeded.

• Monitor key performance indicators (KPIs) and operational metrics, providing monthly trend analysis and actionable recommendations to senior management.

• Analyze staffing models, workload drivers, and operational performance to optimize resource allocation and improve productivity.

• Identify and implement operational efficiencies by leveraging technology, automation, and industry best practices.

• Oversee operational business continuity planning, ensuring procedures and documentation remain current, comprehensive, and aligned with organizational standards.

• Develop, implement, and maintain Written Supervisory Procedures (WSPs) across the global operations team to support governance, compliance, and consistent execution.

• Foster a culture of accountability, continuous improvement, collaboration, and operational excellence across a geographically dispersed team.
Qualifications

• Bachelor's degree in Finance, Business Administration, Economics, or a related field; advanced degree preferred.

• Significant experience leading global trade support or securities operations within the financial services industry.

• Strong knowledge of Equity, Fixed Income, Options, and post-trade operational processes.

• Demonstrated experience in operational risk management, regulatory compliance, and supervisory control frameworks.

• Proven ability to lead global teams and manage complex operational environments.

• Strong analytical skills with experience developing and interpreting operational metrics and performance trends.

• Experience driving process improvements, workflow optimization, and technology-enabled operational efficiencies.

• Exceptional client relationship management, communication, and stakeholder management skills.

• Strong organizational skills with the ability to manage multiple priorities in a fast-paced, deadline-driven environment.
Preferred Skills

• Knowledge of global securities markets and settlement practices.

• Experience implementing automation initiatives and operational transformation projects.

• Strong leadership, coaching, and change management capabilities.

• Ability to influence cross-functional partners and drive strategic initiatives across global organizations.

Compensation Range: The salary range for this position is between $150k-$175k. Broadridge considers various factors when evaluating a candidate's final salary including, but not limited to, relevant experience, skills, and education.
Bonus Eligibility: Bonus Eligible
Benefits Information: Please visit www.broadridgebenefits.com for more information on our comprehensive benefit offerings

We are dedicated to fostering a collaborative, engaging, and inclusive environment and are committed to providing a workplace that empowers associates to be authentic and bring their best to work. We believe that associates do their best when they feel safe, understood, and valued, and we work diligently and collaboratively to ensure Broadridge is a company-and ultimately a community-that recognizes and celebrates everyone's unique perspective.

Use of AI in Hiring

As part of the recruiting process, Broadridge may use technology, including artificial intelligence (AI)-based tools, to help review and evaluate applications. These tools are used only to support our recruiters and hiring managers, and all employment decisions include human review to ensure fairness, accuracy, and compliance with applicable laws. Please note that honesty and transparency are critical to our hiring process. Any attempt to falsify, misrepresent, or disguise information in an application, resume, assessment, or interview will result in disqualification from consideration.

US applicants: Clickhereto view the EEOC "Know Your Rights" poster.

Disability Assistance

We recognize that ensuring our long-term success means creating an environment where everyone is welcome, where everyone's strengths are valued, and where everyone can perform at their best. Broadridge provides equal employment opportunities to all associates and applicants for employment without regard to race, color, religion, sex (including sexual orientation, gender identity or expression, and pregnancy), marital status, national origin, ethnic origin, age, disability, genetic information, military or veteran status, and other protected characteristics protected by applicable federal, state, or local laws.

If you need assistance or would like to request reasonable accommodations during the application and/or hiring process, please contact us at 888-237-7769 or by sending an email toBRcareers@broadridge.com.

About Broadridge

We enable better financial lives by powering investing, governance, & communications for our clients & the financial services industry.

Size: 10,000+ employees
Industry: Financial Services

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