Finance Operations Associate

4 weeks ago

Newport Beach, United States The Patriot Group, Inc. (TPGI) Full time

Operations Finance Associate (Military Veterans Wanted)


Work for a well-respected minority investment bank and institutional brokerage firm in Orange County. With a great leadership team, incredible employee appreciation and undeniable chances to grow – look what we have to offer you


Hours: Aligned with The NYSE (NY), 6:30am-2:30pm or 7am-3pm PST. 


COMPANY PROFILE:

  • A veteran owned investment bank and institutional brokerage company located in Newport Beach, CA.
  • Investment banking services for primary debt and equity capital market transactions and better execution for institutional clients focused on domestic and international equities and more.
  • Growing small business with personal and professional growth



FEATURES AND BENEFITS:

  • Fun and rewarding place to work.
  • 401(k)
  • Medical, Dental & Vision
  • Life Insurance
  • Employee Assistance Program (EAP)



ROLE YOU WILL PLAY:

Seeking a detail-oriented Operations Associate to join our firm. This role will report directly to the Director of Operations and be responsible for ensuring seamless trade processing, account maintenance, and regulatory compliance. This position offers an excellent opportunity for individuals with a strong operational background and a passion for the financial services industry to contribute to a dynamic and growing organization.


Responsibilities:

 

  • Trade Processing: Facilitate the efficient processing of securities trades, including equities, fixed income, and derivatives, by accurately capturing and confirming trade details and instructions.
  • FX – Upload FX trades and reconciling with clearing firm.
  • Fixed Income – Allocating trades and addressing any discrepancies.
  • Options – Upload trade activity and add to client folders.
  • Report to accounting – monthly confirmations.
  • Settlement and Clearing: Coordinate trade settlement activities with clearing agents and counterparties to ensure timely and accurate settlement of transactions in accordance with industry regulations and best practices.
  • Account Maintenance: Manage client accounts and account documentation, including account openings, updates, and closures, while ensuring compliance with regulatory requirements and internal policies.
  • Regulatory Compliance: Assist in maintaining compliance with Anti-Money Laundering (AML) and Customer Due Diligence (CDD) procedures.
  • Client Servicing: Provide exceptional service to clients by promptly addressing inquiries, resolving issues, and proactively communicating updates related to trade execution and account activity.
  • Soft Dollar / CSA: Maintain records of soft dollar and CSA amounts for clients. Reconcile with clients and or aggregators. Work with the Accounting Dept to coordinate payments.



BACKGROUND PROFILE:

  • Bachelor's degree
  • Preferred, not required, FINRA licenses SIE, 7, and 63
  • Minimum of 3 years’ experience within the broker-dealer industry or financial services sector.
  • Proficiency in: Microsoft Excel, Word, Outlook, Access, Bloomberg TOMS
  • Excellent verbal and written communication skills.
  • Ability to respond promptly, organize tasks, manage time, and prioritize requests.
  • Attention to detail and follow-through skills.


 

  • Finance Operations Associate

    2 weeks ago

    Newport Beach, United States The Patriot Group Inc Full time

    Operations Finance Associate (Military Veterans Wanted) Work for a well-respected minority investment bank and institutional brokerage firm in Orange County. With a great leadership team, incredible employee appreciation and undeniable chances to grow – look what we have to offer you! Hours : Aligned with The NYSE (NY), 6:30am-2:30pm or 7am-3pm PST....

  • Director of Finance And Operations

    3 days ago

    Newport Beach, United States Lusso Cloud Full time

    About Us: Lusso Could, Inc. is a forward-thinking and innovative footwear manufacturing company whose mission is Comfort Nirvana. As we continue to grow and expand our operations, we are seeking a highly skilled and experienced Director of Finance to join our team and play a key role in shaping our financial strategy and driving our business forward. Job...

  • Director of Finance And Operations

    10 hours ago

    Newport Beach, United States Lusso Cloud Full time

    About Us: Lusso Could, Inc. is a forward-thinking and innovative footwear manufacturing company whose mission is Comfort Nirvana. As we continue to grow and expand our operations, we are seeking a highly skilled and experienced Director of Finance to join our team and play a key role in shaping our financial strategy and driving our business forward.Job...

  • Director of Finance And Operations

    1 week ago

    Newport Beach, United States Lusso Cloud Full time

    About Us: Lusso Could, Inc. is a forward-thinking and innovative footwear manufacturing company whose mission is Comfort Nirvana. As we continue to grow and expand our operations, we are seeking a highly skilled and experienced Director of Finance to join our team and play a key role in shaping our financial strategy and driving our business forward. Job...

  • Director of Finance And Operations

    2 weeks ago

    Newport Beach, United States Lusso Cloud Full time

    About Us: Lusso Could, Inc. is a forward-thinking and innovative footwear manufacturing company whose mission is Comfort Nirvana. As we continue to grow and expand our operations, we are seeking a highly skilled and experienced Director of Finance to join our team and play a key role in shaping our financial strategy and driving our business forward.Job...

  • Director of Finance And Operations

    5 days ago

    Newport Beach, United States Lusso Cloud Full time

    About Us: Lusso Could, Inc. is a forward-thinking and innovative footwear manufacturing company whose mission is Comfort Nirvana. As we continue to grow and expand our operations, we are seeking a highly skilled and experienced Director of Finance to join our team and play a key role in shaping our financial strategy and driving our business forward.Job...

  • Operations Finance Associate

    2 weeks ago

    Newport Beach, United States The Patriot Group Full time

    Operations Finance Associate (Military Veterans Wanted) Work for a well-respected minorityinvestmentbank and institutional brokerage firm in Orange County. With a great leadership team, incredible employee appreciation and undeniable chances togrow – look what we have to offer you! Hours : Aligned with The NYSE (NY), 6:30am-2:30pm or 7am-3pm PST. COMPANY...

  • Finance Operations Associate

    4 weeks ago

    Newport Beach, United States The Patriot Group, Inc. Full time

    Job DescriptionJob DescriptionOperations Finance Associate (Military Veterans Wanted)Work for a well-respected minority investment bank and institutional brokerage firm in Orange County. With a great leadership team, incredible employee appreciation and undeniable chances to grow – look what we have to offer you!Hours: Aligned with The NYSE (NY),...

  • Associate Director, Commercial Finance

    5 days ago

    Newport Beach, United States Green House Agency, Inc Full time

    Who We Are:Green House is a Marketing Accelerator Business with deep expertise in Field Marketing & Sales, and an expanding portfolio of work tied to strategic market disruption. We are a team of over 200 cultivators committed to helping brands grow through creative engagement. Green House is looking to bring on an Associate Director of Commercial Finance to...

  • Associate Director, Commercial Finance

    5 days ago

    Newport Beach, United States Green House Agency, Inc Full time

    Who We Are:Green House is a Marketing Accelerator Business with deep expertise in Field Marketing & Sales, and an expanding portfolio of work tied to strategic market disruption. We are a team of over 200 cultivators committed to helping brands grow through creative engagement. Green House is looking to bring on an Associate Director of Commercial Finance to...

  • Associate Director, Commercial Finance

    6 days ago

    Newport Beach, United States Greenhouse Agency Full time

    Job DescriptionJob DescriptionWho We Are:Green House is a Marketing Accelerator Business with deep expertise in Field Marketing & Sales, and an expanding portfolio of work tied to strategic market disruption. We are a team of over 200 cultivators committed to helping brands grow through creative engagement. Green House is looking to bring on an Associate...

  • Associate Director, Commercial Finance

    5 days ago

    Newport Beach, United States Green House Agency, Inc Full time

    Who We Are:Green House is a Marketing Accelerator Business with deep expertise in Field Marketing & Sales, and an expanding portfolio of work tied to strategic market disruption. We are a team of over 200 cultivators committed to helping brands grow through creative engagement. Green House is looking to bring on an Associate Director of Commercial Finance to...

  • Director of Finance and Business Operations

    1 week ago

    Newport Beach, United States Pacifica Christian - Orange County Full time

    Job DescriptionJob DescriptionThe Director of Finance & Business Operations reports to the Head of School and is responsible for managing the school's resources in a prudent and careful manner, consistent with the mission and goals of the school. She/he understands the mission, standards, and policies of the school, contributes to their formulation and...

  • Director of Finance and Business Operations

    3 days ago

    Newport Beach, United States Pacifica Christian - Orange County Full time

    Job DescriptionJob DescriptionThe Director of Finance & Business Operations reports to the Head of School and is responsible for managing the school's resources in a prudent and careful manner, consistent with the mission and goals of the school. She/he understands the mission, standards, and policies of the school, contributes to their formulation and...

  • Operations Associate

    2 weeks ago

    Newport Beach, United States Woodside Credit Full time

    Job DescriptionJob DescriptionJob descriptionWoodside Credit is a Newport Beach based finance company seeking a highly motivated professional to provide support to the sales department. Duties include customer service, processing and contact with dealers and customers. The ideal candidate must project a positive and professional company image through...

  • Automotive Finance Manager

    1 month ago

    Newport Beach, United States Group 1 Automotive, Inc. Full time

    Overview**:Newprt Lexus **is part of the fast growing _Group 1 Automotive_, a leader in automotive retail. We are looking to add a qualified **FINANCE MANAGER** **to our high performing team! * In addition to competitive pay, we offer our associates the following benefits:* - Health, Dental & Vision insurance - Life & Disability insurance - 401(k) plan with...

  • Vice President Finance

    2 weeks ago

    Newport Beach, United States SYSTM Foods Full time

    WHO WE ARE At the forefront of the beverage industry, SYSTM Foods is focused on strategically acquiring and nurturing a portfolio of exceptional cold chain beverage brands. Driven by a dedication to better-for-you functional beverages, our deliberate curation of top-tier brands is propelled by a passion for innovation, wellness, and taste. Each of our wholly...

  • Vice President Finance

    2 weeks ago

    Newport Beach, United States SYSTM Foods Full time

    WHO WE ARE At the forefront of the beverage industry, SYSTM Foods is focused on strategically acquiring and nurturing a portfolio of exceptional cold chain beverage brands. Driven by a dedication to better-for-you functional beverages, our deliberate curation of top-tier brands is propelled by a passion for innovation, wellness, and taste. Each of our wholly...

  • Vice President Finance

    5 days ago

    Newport Beach, United States SYSTM Foods Full time

    WHO WE AREAt the forefront of the beverage industry, SYSTM Foods is focused on strategically acquiring and nurturing a portfolio of exceptional cold chain beverage brands. Driven by a dedication to better-for-you functional beverages, our deliberate curation of top-tier brands is propelled by a passion for innovation, wellness, and taste. Each of our wholly...

  • Vice President Finance

    4 weeks ago

    Newport Beach, United States SYSTM Foods Full time

    WHO WE AREAt the forefront of the beverage industry, SYSTM Foods is focused on strategically acquiring and nurturing a portfolio of exceptional cold chain beverage brands. Driven by a dedication to better-for-you functional beverages, our deliberate curation of top-tier brands is propelled by a passion for innovation, wellness, and taste. Each of our wholly...