Operations Associate

Operations Associate Key Responsibilities

• Trade Processing:
  Ensuring the timely and accurate processing of trades, payments, and other financial transactions.
• Client Onboarding and Maintenance:
  Reviewing and processing new account applications, managing client profiles, and updating account information.
• Asset Movement:
  Initiating and processing cash and securities transfers.
• Receipt and Delivery of Securities:
  Managing the flow of securities and funds between the firm, other counter parties, and clients.
• Other Operations:
  Notifying clients of margin calls, cash dues, corporate actions, and other service notifications from Clearing Firm.
• Reporting and Analysis:
  Providing reports and insights to senior management.
• Compliance:
  Adhering to broker-dealer FINRA rules and regulations, ensuring accurate record-keeping, and maintaining required documentation.
• Client Support:
  Responding to client inquiries, resolving service requests, and providing operational support to sales teams and advisors.
• Process Improvement:
  Identifying areas for improvement in operational processes, documenting standard operating procedures, and collaborating with other teams to implement changes.

• trong attention to detail and accuracy.
• Excellent written and verbal communication skills.
• Ability to work independently and as part of a team.
• Knowledge of securities and financial regulations, specifically FINRA and SEC regulations.
• Proficiency in Microsoft Office Suite (Word, Excel, Outlook).
• 2+ years’ experience with broker dealer operations is preferred.
• Experience with Pershing Netex 360 Preferred.
• Series 99 or Series 7 preferred.
• Proficiency in Spanish and English.
• Ability to work remotely part of the week.