Summary

The team

The Operations Associate(s) are responsible for ensuring the smooth day to day operations of the broker dealer. This role supports daily and monthly trade and position reconciliation; settlements, corporate actions, regulatory compliance and risk management. Support the business through internal/external audits, regulatory exams, and ad-hoc projects as needed. All while providing a first in class client experience in collaboration with our Customer Experience Team.

The opportunity

1. Perform trade and position reconciliation to ensure accurate reporting and readiness for trading activities by clearing trade discrepancies.
2. Ensure that daily settlements are complete by working with the operations team, finance & treasury, and our clearing and custody broker.
3. Work with clearing firm to resolve service issues, identify processing gaps and systemic issues.
4. Work with the compliance team to execute the firm's supervisory policies and procedures.
5. Manage corporate action processing, such as dividends and stock splits, ensuring accurate reflection in client accounts.
6. Complete regulatory reporting tasks, including CAT reporting, rule 606, and best execution analysis.
7. Assist with operational compliance, finance, and new product initiatives.  
8. Continually seek out and implement efficiencies and process improvements. Actively analyze problems and implement corrective action.
9. Assist with regulatory inquiries and exams, including document and data retrieval.
10. Perform periodic enhanced reviews, specifically related to trade reporting.

Skills you should HODL

1. Must have Series 7
2. 4-5 years brokerage operations or financial services experience.
3. Understanding of operational controls and regulatory compliance standards.
4. Ability and willingness to cover other shifts as needed. 
5. Ability to utilize G-Suite and other office productivity tools for financial modeling, project tracking, and business analysis 
6. Self starter with the ability to work independently.  
7. Strong attention to detail. 
8. Ability to work under time-sensitive conditions.
9. Proficiency in operational tools and systems.

Skills

• Attention to Detail
• Operations