Operations Associate

Operations Associate Key Responsibilities Trade Processing: Ensuring the timely and accurate processing of trades, payments, and other financial transactions. Client Onboarding and Maintenance: Reviewing and processing new account applications, managing client profiles, and updating account information. Asset Movement: Initiating and processing cash and securities transfers. Receipt and Delivery of Securities: Managing the flow of securities and funds between the firm, other counterparties, and clients. Other Operations: Notifying clients of margin calls, cash dues, corporate actions, and other service notifications from Clearing Firm. Reporting and Analysis: Providing reports and insights to senior management. Compliance: Adhering to broker-dealer FINRA rules and regulations, ensuring accurate record-keeping, and maintaining required documentation. Client Support: Responding to client inquiries, resolving service requests, and providing operational support to sales teams and advisors. Process Improvement: Identifying areas for improvement in operational processes, documenting standard operating procedures, and collaborating with other teams to implement changes. Qualifications trong attention to detail and accuracy. Excellent written and verbal communication skills. Ability to work independently and as part of a team. Knowledge of securities and financial regulations, specifically FINRA and SEC regulations. Proficiency in Microsoft Office Suite (Word, Excel, Outlook). 2+ years’ experience with broker dealer operations is preferred. Experience with Pershing Netex 360 Preferred. Series 99 or Series 7 preferred. Proficiecy in Spanish and English. Ability to work remotely part of the week. #J-18808-Ljbffr Rekruiting Advisors LLC