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Broker Dealer Operations (Settlements, Corporate Actions, and Custody) with ACTIVE Series 7 or 99
New York City, NYOPEN JOB: Broker Dealer Operations (Settlements, Corporate Actions, and Custody) with 'ACTIVE" Series 7 or 99
TYPE: Full Time Salaried with benefits
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LOCATION: Role is currently remote with occasional onsite as needed in NYC.
Self-clearing firm is looking for a talented financial service professional to be part of the Operations team. The qualified candidate’s primary responsibility will be to efficiently handle the day-to-day functions within the Operations department, these include but may not be limited to, Settlements, Corporate Actions, and Custody Operations. Additionally, candidate will be asked to assist with the day-to-day operations for an affiliate retail broker-dealer. Ideal candidate thrives in a fast-paced environment and is able to multitask while high level of attention to detail.
Specific Responsibilities Include:
REQUIRED QUALIFICATIONS:
If you are interested in pursuing this opportunity, please respond back and include the following:
Upon receipt, I will contact you to schedule a convenient time to discuss the position.
Sincerely,
Michael Jude
INTERMEDIA GROUP INC.
EMAIL: Mike@intermediagroup.com
VOICE: 347-303-5641 (Mobile 24/7)
LINKEDIN: https://www.linkedin.com/in/michael-jude-3062161a3/
WEB: www.intermediagroup.com
TYPE: Full Time Salaried with benefits
\
LOCATION: Role is currently remote with occasional onsite as needed in NYC.
Self-clearing firm is looking for a talented financial service professional to be part of the Operations team. The qualified candidate’s primary responsibility will be to efficiently handle the day-to-day functions within the Operations department, these include but may not be limited to, Settlements, Corporate Actions, and Custody Operations. Additionally, candidate will be asked to assist with the day-to-day operations for an affiliate retail broker-dealer. Ideal candidate thrives in a fast-paced environment and is able to multitask while high level of attention to detail.
Specific Responsibilities Include:
- Reconciling daily firm trade activity
- Resolving equity trade breaks
- Reconciling daily firm settlement obligations
- Assisting with client money movement processing
- Assisting with client security movement processing
- Working with the firm’s finance group on anticipating and meeting firm settlement obligations.
- Work closely within the team to ensure daily processes are completed accurately and in a timely manner.
- Understanding of brokerage middle and back-office processing for various Clearing entities (DTCC, NSCC).
- In-depth knowledge of DTCC applications and functions
- Knowledge of Corporate Action events
- Review retail broker-dealer applications (KYC, background checks, etc)
- Monitor retail broker-dealer cashiering (ACH linkages, incoming & outgoing wires, etc)
- Monitor retail broker-dealer client support inquiries (via Salesforce) and provide customer service responses
- Assisting with client margin monitoring
- Processing of DTC settlement items including FTD, FTR, and Balance Orders
- Interacting with clearing brokers and executing counterparties
REQUIRED QUALIFICATIONS:
- ACTIVE Series 7 or Series 99 license required
- Active Series 24 is a big plus
- Familiarity with the use of back-office clearing systems such as Broadridge, Inteliclear, SAS
- Proficient in Word and Excel skills
If you are interested in pursuing this opportunity, please respond back and include the following:
- MS WORD Resume
- required compensation
- Contact information
- Availability
Upon receipt, I will contact you to schedule a convenient time to discuss the position.
Sincerely,
Michael Jude
INTERMEDIA GROUP INC.
EMAIL: Mike@intermediagroup.com
VOICE: 347-303-5641 (Mobile 24/7)
LINKEDIN: https://www.linkedin.com/in/michael-jude-3062161a3/
WEB: www.intermediagroup.com