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Operations Associate- FINRA Series 7, 24, and 63

Jersey City, NJ
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.


Jason Denmark
Email: jdenmark@intermediagroup.com

LINKEDIN: https://www.linkedin.com/in/jasondenmark/

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