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.