Senior Operations Manager

3 weeks ago


Jersey City, United States Comrise Full time

Senior Operations Manager


Location: Jersey City, NJ, 4 days onsite

Report to COO


About Us

We are SEC-registered broker-dealers and members of FINRA/SIPC. We provide clearing and execution services to other broker-dealers.


Key responsibilities may include

• Monitor and assist with daily operations including clients’ service matters, monitoring

clients’ trading activities and money movement.

• Help identify and draft requirements and testing plans for the development of a back

office system

• Manage/reconcile daily cash balances and oversee cash reporting and projections.

• Process fund in/out transactions for clients and brokers.

• Perform regular bank verification and global sanctions monitoring/screening checks and

oversight of existing clients within the system.

• Respond to various complex operational issues for both internal and external clients.

• Responsible for daily trade settlements, and resolution of issues.

• ACAT processing

• Identify and implement Operational improvements.

• Perform other duties as assigned.


What you have

• Series 7 & 63 with the ability to obtain Series 24 within 6 months.

• Minimum of 5 years of Financial Services experience in Middle and Back-Office

Operations

• Broad understanding of the brokerage industry specifically Settlements, Corporate Actions,

ACAT’s, Reconciliation and Cashiering functions and associated regulations pertaining

to these areas.

• Familiarity with 15c3-3 Customer Protection Rules

• In-depth knowledge related to Financial Operation workflows and best practices.

• Knowledge related to US and HK market trading and settlement.• Knowledge of Banking rules preferred.

• Ability to help with the development and growth of team members.

• Ability to clearly and effectively present concepts or issues to groups.

• Enjoy problem-solving and working as part of a team in a fast-paced environment.

• Proficient in Microsoft Office.



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