Broker Dealer Operations

• Process and reconcile daily trade settlements, ensuring accuracy between trade blotters, custodians, and clearing firms
• Monitor and resolve trade breaks, failed trades, and settlement discrepancies in a timely manner
• Assist with account opening, maintenance, and closing procedures, ensuring all documentation meets regulatory and firm requirements
• Support corporate actions processing, including dividends, stock splits, mergers, and tender offers
• Maintain accurate records for cash management, margin requirements, and position reconciliation
• Assist in preparing regulatory filings and reports (e.g., FINRA, SEC) as required
• Liaise with custodians, clearing firms, and external vendors to resolve operational issues
• Support audits and compliance reviews by providing documentation and operational data
• Identify opportunities to improve operational workflows and reduce manual errors
• Maintain up-to-date knowledge of industry regulations affecting broker-dealer operations

Qualifications:

• Bachelor's degree in Finance, Business, Accounting, or related field
• 5+ years of experience in broker-dealer operations, securities operations, or a related back-office role
• Familiarity with trade settlement processes, clearing systems, and custodial relationships
• Working knowledge of FINRA, SEC, and other relevant regulatory frameworks
• Strong attention to detail and ability to manage multiple tasks under tight deadlines
• Proficiency in Excel and operations/trading platforms (e.g., Bloomberg, DTCC systems)