Brokerage Operations Associate

Company Description

What We're Building

Help us democratize access to financial markets.

Are you passionate about disrupting financial services with easy to use APIs? We are too! 

We're looking for talented software developers with experience or excitement in building and working with APIs to join our team in Portland, Oregon.

Our Tech Stack

Primarily Go with some Ruby Microservices in Docker containers running on AWS. 

We are language agnostic, if you can work out how to put it in a docker container and help us learn the language, it’s in.

Our Dev Culture

Our goal is to build the best API for financial markets and in future other financial services. As a company, we pride ourselves in having everyone on the team knowing our API. Our customers rely on us for our stability and long term thinking. 

We move at a reasonable pace and keep things working. We fix bugs before writing new features, and we specify functionality before building in agile development cycles.

Job Description

Third Party Trade LLC

Our growing Fintech seeks an entry-level Brokerage Operations Associate to join our team for our broker-dealer subsidiary, Third Party Trade LLC. You’ll be working with an awesome team of self-starters helping to power the next generation of financial applications.

Responsibilities

● Monitor and review daily reports, and evaluate findings using AML/KYC/CIP procedures.

● Review that corporate actions are processed correctly, resolve trade errors, identify suspense positions, etc.

● Provide oversight of policies and procedures.

● Interface with clearing firm to review trade reports, quarterly trade activity, and open new accounts.

● Provide support to clients and end-customers.

● Review incoming deposits and approve withdrawal requests

● Manage special projects as needed including assisting with due diligence requests or accounting research on potential transactions.

● Assist with the financial compliance notices, examinations and inquiries for SEC and/or FINRA.

Requirements

● Preferred Licenses: Series 99, Series 7 or 65 (or obtain within 120 days of hire)

● 1-3 years of finance/brokerage experience

● Ability to quickly learn proprietary web-based account services applications

● Appreciation for compliance and adherence to government regulations

● Effective verbal and written communication skills

Nice to Have

● Experience leading projects.

● Experience working with a Registered Investment Advisor (RIA) or Introducing Broker-Dealer (experience working with a Full Carrying or Clearing Broker-Dealer preferred).

● SEC/FINRA regulatory and compliance knowledge.

● Excellent research skills including experience with online search tools.

What We Offer

● Competitive compensation

● A comprehensive benefits package 

● The chance to power new and innovative investment products and democratize investing. 

Additional Information

All your information will be kept confidential according to EEO guidelines.