Senior Broker Dealer Operations

We are seeking a Senior Broker Dealer Operations candidate who will be responsible for day-to-day operations of broker-dealeroperations.

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

• 5+ years of broker-dealer 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