OPEN JOB: Operations Associate - FINRA Series 7, 24, and 63 LOCATION: This would be a hybrid role 2-3x/week in Jersey City
COMP: $135,000 - $140,000 +/-
Our client, a self-clearing, registered U.S. broker-dealer, is seeking to add to its operations team. The qualified candidate will work with a team of operations professionals in managing day-to-day activities within the operations group.
The ideal candidate will have a thorough understanding of operational onboarding (including KYC and AML regulations), money transfers, market access rules, order entry use and the monitoring thereof, and the clearing and settlement process for equity securities.
Specific Responsibilities Include
Proficient in using KYC/AML tools and databases
Reconciling daily firm settlements
Processing client cash money movements
Reconciling client and house security positions
Reconciling client and house cash balances
Risk management system (15c3-5) monitoring and use
Client order entry system monitoring and use
Interacting with clearing brokers and executing counterparties
Reviewing and processing of corporate actions
Reviewing and advising position holders on voluntary corporate actions
Processing dividend-related items
Familiarity with the following software applications is a plus: Jira; Socure; Accuant; and Comply Advantage
Required Qualifications
Minimum of 5 years’ experience working in operations and/or securities clearing
FINRA Series 7, 24, and 63. Additional licenses are a plus but not required
Bachelor’s degree in finance, accounting, business administration, or a related field
Strong written and verbal communication skills, including the ability to effectively communicate complex concepts to diverse stakeholders
Ability to handle and prioritize multiple tasks while meeting deadlines
Ethical and professional conduct, with a commitment to maintaining the confidentiality of customer information
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, one of our recruiting managers will contact you to schedule a convenient time to discuss the position. Sincerely,