Trading Operations Associate

Description:

You must have good knowledge of the Securities Operations, Onboarding (including KYC and AML regulations) and Settlements/Clearing experience to be considered for this role. They also require all three 7, 24, and 63 FINRA certifications to be considered.

Responsibilities Include:

• Proficient in using KYC/AML tools and databases

• Reconciling daily firm settlements

• Processing client cash money movements

• Reconciling client and house security positions

• Reconciling client and house cash balances

• Risk management system (15c3-5) monitoring and use

• Client order entry system monitoring and use

• Interacting with clearing brokers and executing counterparties

• Reviewing and processing of corporate actions

• Reviewing and advising position holders on voluntary corporate actions

• Processing dividend-related items

• Familiarity with the following software applications is a plus: Jira; Socure; Accuant; and Comply Advantage

Required Qualifications:

• Minimum of 5 years’ experience working in operations and/or securities clearing

• FINRA Series 7, 24, and 63. Additional licenses are a plus but not required

• Bachelor’s degree in finance, accounting, business administration, or a related field

• Strong written and verbal communication skills, including the ability to effectively communicate complex concepts to diverse stakeholders