Senior Operations Manager
3 weeks ago
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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