Senior Broker Dealer Operations

Job Description

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

Responsibilities

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• Coordinate and execute trade settlement process for client accounts
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• Communicate with clients and resolve any trade-related inquiries or issues
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• Maintain accurate client records and ensure compliance with regulatory requirements
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• Review and reconcile account statements, ensuring accuracy of transactions
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• Assist in the onboarding process for new clients, including account setup and documentation
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• Work closely with the compliance team to ensure adherence to industry regulations
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• Assist in the preparation and submission of regulatory reports
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• Monitor and analyze trading activities, identifying any potential risks or anomalies
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• Collaborate with internal teams to improve operational processes and efficiency
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• Provide exceptional support to clients, answering any questions or resolving any issues in a timely manner
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Qualifications

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• 5+ years of broker-dealer operations experience
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• Solid understanding of trade settlement processes and industry regulations
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• Excellent attention to detail and strong analytical skills
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• Proficient in using financial software and Microsoft Office Suite and NetX360
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• Strong written and verbal communication skills
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• Ability to work independently and meet tight deadlines
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• Strong problem-solving and decision-making abilities Highly organized and capable of multitasking
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• FINRA licenses SIE, Series 99, and or Series 7
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• Bilingual Spanish and English
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