Margin Analyst

Park Capital Search has been retained by a growing clearing and broker-dealer firm to find a Margin Analyst. This is a hybrid role based in the firm’s Salt Lake City, UT office.

This role leads daily oversight of customer margin accounts. You’d also support operations, trading support, and brokerage functions across the firm, so it suits someone who wants more than a margin-only seat.

• Monitor customer margin accounts daily, calculate initial and maintenance margin, and apply house and concentration requirements
• Review margin deficiencies, and issue and track margin calls
• Analyze concentrated positions, low-priced securities, and other higher-risk holdings
• Work with Operations, Compliance, Trading, Finance, and Clearing, and support audits and regulatory exams
• Help build and maintain margin procedures and controls

• 3+ years in margin operations, brokerage operations, or margin risk management at a broker-dealer
• Strong working knowledge of Regulation T, FINRA margin rules, and house, concentration, and risk-based requirements
• Advanced Excel skills and strong analytical ability
• The ability to work independently and manage competing priorities

• FINRA Series 7
• Series 63 or 24 a plus
• Experience with FIS Phase 3 back-office system
• Experience with introducing broker-dealers and clearing firms