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Broker Dealer Operations (Settlements, Corporate Actions, and Custody) with ACTIVE Series 7 or 99

New York City, NY
OPEN JOB: Broker Dealer Operations (Settlements, Corporate Actions, and Custody) with 'ACTIVE" Series 7 or 99

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 
Additional Responsibilities May Include: 
  • Assisting with client margin monitoring
  • Processing of DTC settlement items including FTD, FTR, and Balance Orders
  • Interacting with clearing brokers and executing counterparties 

  • 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.

Michael Jude 
EMAIL: Mike@intermediagroup.com 
VOICE: 347-303-5641 (Mobile 24/7)
LINKEDIN: https://www.linkedin.com/in/michael-jude-3062161a3/ 
WEB: www.intermediagroup.com

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