About the Role
This position is responsible for overseeing key aspects of brokerage operations, including trade execution, account management, regulatory compliance, and cross-functional coordination to ensure accuracy and efficiency in daily activities.
Responsibilities
- Manage daily trade settlement and reconciliation processes
- Monitor account activity for compliance with regulatory standards
- Support onboarding of new clients and transition of accounts
- Collaborate with compliance teams to maintain audit readiness
- Resolve operational discrepancies in a timely manner
- Ensure accurate processing of corporate actions and dividends
- Assist in improving operational workflows and reducing error rates
- Coordinate with custodians and third-party service providers
- Maintain documentation for operational procedures and controls
- Respond to internal and external inquiries related to brokerage services
- Track and report on key performance metrics for operations
- Facilitate communication between client service and trading teams
- Review new account applications for completeness and accuracy
- Support system upgrades and technology implementations
- Identify risks in operational processes and recommend solutions
- Ensure adherence to licensing and regulatory requirements
- Assist in month-end and quarter-end closing procedures
- Participate in cross-training to support team scalability
- Maintain data integrity across multiple platforms
- Escalate complex issues to senior management when necessary
Nice to Have
- Series 7 and Series 63 licenses
- Experience with automated clearing house (ACH) and wire processes
- Knowledge of margin accounts and lending operations
- Prior experience in a client-facing operations role
- Exposure to fintech or digital brokerage platforms
Compensation
Competitive salary and benefits package
Work Arrangement
Hybrid work model with office and remote flexibility
Team
Collaborative team within the brokerage operations division
Technology Environment
- Work within a modern tech stack including cloud-based operations platforms, automated reconciliation tools, and secure data portals
- Regular interaction with development teams during system enhancements and reporting tool updates
Growth Opportunities
- Pathways for advancement into operational leadership or specialized functional roles
- Access to professional development programs and industry certifications
Not available for this position
