Trading Operations Specialist

We are seeking a highly motivated and collaborative Trading Operations Associate to join the Operations team. We are a newly established broker dealer startup focused on providing customers exceptional products and services built with artificial intelligence. Our mission is to build a futuristic AI investing home to help investors enhance their investing knowledge, improve their ability to make profits and make investing enjoyable!

Responsibilities

• Effectively resolve client inquiries via multiple communication channels (email, phone, chat, etc.)

• Review customers new account paperwork and escalate issues to senior staff

• Trade and settlement resolution and reconciliation

• Cashiering and AML processing

• Ability to work in a fast pace environment and multi-task

• Monitoring equity and options risk

• Follow internal procedures and risk controls

Qualifications

• Has great passion for learning and keeping up on innovative trends in Fintech

• Previous New Accounts and Broker-Dealer customer support experience required

• Previous experience with using a ticketing system as well as a CRM

• Must have strong attention to detail and ability to multi-task

• Solid understanding/knowledge of financial instruments (i.e. equities, options, crypto)

• Constant self-improvement, permanent learning, and intellectual curiosity

• Highly organized with the ability to prioritize and track multiple tasks to successful completion

Experience and Requirements

• Finra Series 7 License is a must; Finra Series 4 License is nice to have

• BS/BA in accounting, finance, economics, or a related field required

• Full understanding of margin and analysis

• Strong working of knowledge of trade life cycle, settlement, and reconciliation

• New Account opening and CIP experience

• AML analysis and surveillance experience

• Minimum 3 years finance operations industry