Trading Operations Specialist
Full-time
Ascendo Resources
We are seeking a Trading Operations Specialist candidate who will be responsible for day-to-day operations of broker-dealer operations.
Responsibilities
- Coordinate and execute trade settlement process for client accounts
- Communicate with clients and resolve any trade-related inquiries or issues
- Maintain accurate client records and ensure compliance with regulatory requirements
- Review and reconcile account statements, ensuring accuracy of transactions
- Assist in the onboarding process for new clients, including account setup and documentation
- Work closely with the compliance team to ensure adherence to industry regulations
- Assist in the preparation and submission of regulatory reports
- Monitor and analyze trading activities, identifying any potential risks or anomalies
- Collaborate with internal teams to improve operational processes and efficiency
- Provide exceptional support to clients, answering any questions or resolving any issues in a timely manner
Qualifications
- 2+ years of trading operations experience
- Solid understanding of trade settlement processes and industry regulations
- Excellent attention to detail and strong analytical skills
- Proficient in using financial software and Microsoft Office Suite and NetX360
- Strong written and verbal communication skills
- Ability to work independently and meet tight deadlines
- Strong problem-solving and decision-making abilities Highly organized and capable of multitasking
- FINRA licenses SIE, Series 99, and or Series 7
- Bilingual Spanish and English
Vacancy posted 2 hours ago
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