Finance & Accounting Jobs in Charlotte, NC (Now Hiring) — 1,565 open — Page 35

Overview

We are seeking a highly analytical and solutions-oriented Sr. Trading Systems Application Strategist with expertise in order management system (OMS) trading workflows and interfacing trading applications such as execution management systems (EMS), electronic trading venues, and market data platforms. This role carries meaningful responsibility for pre-trade and post-trade compliance, partnering closely with the compliance team on trade surveillance and monitoring systems to ensure trading activity is properly controlled, flagged, and reviewed across the transaction lifecycle. The role also requires a strong understanding of full front-to-back workflows, including how trading activity integrates with middle and back office systems for trade capture, confirmation, settlement, and reconciliation.

 

This role is critical to supporting our trading technology roadmap, day-to-day trading operations, and strategic initiatives across the firm. The ideal candidate will demonstrate strong interpersonal, problem-solving, and critical-thinking skills to analyze, optimize, and support workflows within the transaction lifecycle, ensuring alignment with business objectives and regulatory requirements.

 

 

We currently operate in a hybrid working model, whereby you will be required to work in-office 4 days per week.  

 

Location(s): Charlotte, NC, or Milwaukee, WI

 

Responsibilities

• Serve as a liaison between trading desks, operations, compliance, and IT for all order management system (OMS) and integrated trading application initiatives, applying critical thinking to bridge technical and business needs.
• Analyze and document trading lifecycle workflows, including integrated applications supporting the order management and execution systems, identifying gaps and proposing effective, scalable solutions.
• Maintain a strong working knowledge of full front-to-back workflows, ensuring trading system design and change decisions account for downstream impacts on middle and back office processes such as trade capture, allocation, confirmation/affirmation, settlement, and reconciliation.
• Partner with middle and back office teams to troubleshoot and resolve integration issues between trading systems and downstream systems (e.g., accounting, custody, settlement platforms), ensuring clean, timely straight-through processing (STP).
• Manage the technology backlog for trading systems, supporting grooming, prioritization, and readiness of work items in partnership with the technology team.
• Collaborate with traders, portfolio managers, operations, and compliance teams to gather requirements and translate them into practical, efficient system solutions.
• Lead testing, validation, and deployment of updates and enhancements, proactively identifying potential issues and resolving them before implementation.
• Troubleshoot and resolve complex issues related to trade execution, compliance alerts, and data integration, leveraging strong analytical skills to diagnose root causes.
• Partner with the compliance team on the configuration, tuning, and ongoing administration of pre-trade compliance rules (e.g., restricted lists, concentration limits, guideline checks) within the OMS to prevent trading violations before execution.
• Own the application-side support of post-trade compliance monitoring and trade surveillance systems, ensuring alerts, exception queues, and escalations are properly configured, tested, and functioning as intended.
• Investigate and help remediate compliance alert breaks, false positives, and surveillance exceptions, working with compliance to refine rule logic and reduce noise without compromising coverage.
• Support regulatory and internal audit requests related to trade surveillance and compliance monitoring by ensuring system logs, alert history, and workflow documentation are accurate and retrievable.
• Coordinate with order management system vendors, execution venues, and internal teams for workflow changes, system upgrades, and patches, ensuring minimal disruption and maximum value.
• Partner with the technology team on Agile ceremonies (backlog grooming, sprint planning, and reviews) as the business-side subject matter expert for trading systems.
• Maintain comprehensive documentation of system configurations, workflows, and change requests, with attention to detail and logical organization.
• Monitor industry, market structure, and regulatory developments that may affect trading workflows, and proactively recommend system or process changes.

Qualifications

Required Qualifications

• 5+ years of experience working with a major order management system (e.g., Bloomberg AIM, Charles River, Aladdin, or similar) in a business systems or application support role.
• Charles River experience required.
• Direct experience supporting pre-trade compliance rule configuration and post-trade compliance monitoring or trade surveillance systems within an asset management or broker-dealer environment.
• Proven ability to apply critical thinking and problem-solving skills in high-pressure, dynamic trading environments.
• Strong understanding of investment management operations, trading workflows, and compliance processes, including regulatory requirements governing trade surveillance and monitoring.
• Working knowledge of integration between trading systems and middle and back office systems and workflows (e.g., trade capture, allocations, confirmation/affirmation, settlement, reconciliation), with a strong understanding of the full front-to-back trade lifecycle.
• Experience with the FIX protocol, market data feeds, and integration with upstream/downstream trading systems.
• Experience with electronic trading venues and platforms (e.g., Tradeweb, MarketAxess, MTS, or similar).
• Excellent analytical skills and ability to evaluate complex systems and workflows.
• Strong communication skills and ability to work cross-functionally with traders, operations, compliance, and technology teams.
• Bachelor's degree in Finance, Business, Computer Science, or a related field.
• Remain in stationary position for prolonged periods of time
• Operate computer programs and software
• Ability to communicate effectively with audiences in person and in electronic formats
• Day-to-day contact with others (co-workers and/or public)
• Ability to work in a collaborative business environment in close quarters with peers and varying interruptions

Preferred Qualifications

• Bachelor's degree strongly preferred 
• Experience working as an Agile Scrum Master or Product Owner, utilizing JIRA (or similar) for management of work items.
• Scrum Master certification.
• Experience with low-code/automation tools (e.g., PowerApps, UiPath, or similar).
• Experience with SQL and data analysis tools.
• Familiarity with vendor APIs or data services from major OMS/EMS providers.
• Experience with dedicated trade surveillance or compliance monitoring platforms (e.g., Bloomberg AIM Compliance, Charles River Compliance, ACA ComplianceAlpha, NICE Actimize, or similar).
• Working knowledge of relevant regulatory regimes governing trade surveillance and market conduct (e.g., SEC, FINRA, MiFID II).

Please note: This position does not offer sponsorship for employment visas. Applicants must be legally authorized to work in The United States without sponsorship now or in the future.

Compensation

Base Pay Range: $110,000 - $160,000

 

Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary bonus programs, or other annual or non-annual incentive or sales plans.)

 

#LI-JD1

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Disclosure

We are an Equal Opportunity/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status