Operational Specialist

The Broker Dealer Operations Specialist 2 supports in the day-to-day execution of institutional client onboarding, account maintenance, and asset movement activities
. This role is ideal for a detail-oriented professional with experience in broker-dealer operations who thrives in a fast-paced, regulated environment.

• Review and process institutional client onboarding requests, ensuring proper documentation for various client types (Corporation, LLC, Partnership, etc.).
• Perform AML, CIP, KYC, and OFAC screenings for new and existing clients.
• Review and approve asset movements
  , including ACH and Fedwire transactions.
• Process and maintain client account updates, ensuring accuracy and compliance.
• Support settlement and reconciliation activities for institutional trading products
  , including ICs/CDARs and Money Market Funds.
• Prepare and update operational procedures, job aids, and ad hoc reports
  .
• Collaborate with audit and risk teams to provide documentation and validate controls.
• Assist in training and quality assurance for new team members.
• Participate in special projects to enhance process efficiency and client experience.

• High School Diploma or equivalent.
• 1+ year of experience in brokerage, investment operations, or institutional onboarding
  .

• Working knowledge of AML, CIP, KYC, and OFAC compliance requirements.
• Experience with wire and ACH processing and approvals
  .
• Familiarity with institutional or foreign client onboarding processes.
• FINRA SIE and Series 99 licenses preferred;
  Series 6 or 7 a plus.
• Strong organizational skills and attention to detail.
• Proficiency in Microsoft Office (Excel, Outlook, Word).
• Ability to manage multiple priorities and collaborate effectively across teams.