Operations Specialist

5 days ago


miami, United States LAFISE Securities Full time

Job Title: Broker-Dealer Operations Specialist


Job Summary: LAFISE Securities LLC , an introducing broker dealer in Miami, is seeking for an Operations Specialist responsible for daily operational tasks, sales support, project management, and ensuring efficient operations management.


Responsibilities:


Trade Processing:

  • Oversee the confirmation and settlement of trades.
  • Ensure that transactions are executed accurately and efficiently.
  • Reconcile trade discrepancies and resolve issues promptly.

Compliance and Regulation:

  • Ensure that all operations adhere to regulatory requirements and industry standards.
  • Maintain up-to-date knowledge of relevant regulations (e.g., SEC, FINRA).
  • Assist in internal and external audits.

Operational Support:

  • Provide support for trading systems and technology.
  • Troubleshoot and resolve operational issues related to trading platforms.
  • Collaborate with IT and other departments to enhance operational efficiency.

Client Services:

  • Address and resolve client inquiries related to account transactions and statements.
  • Process account openings, transfers, and other client-related requests.

Documentation and Reporting:

  • Maintain accurate records of trades and transactions.
  • Prepare and analyze operational reports and metrics.
  • Generate reports for internal use and regulatory compliance.

Risk Management:

  • Identify and mitigate operational risks.
  • Implement controls to prevent errors and fraud.
  • Monitor and manage operational risks associated with trade processing and settlement.


Skills and Qualifications:

  • Attention to Detail: Precision is crucial when handling financial transactions and ensuring compliance.
  • Analytical Skills: Ability to analyze data, identify discrepancies, and implement solutions.
  • Knowledge of Financial Markets: Understanding of trading processes, financial instruments, and market regulations.
  • Technical Proficiency: Familiarity with trading systems, databases and financial software. Advanced proficiency in Excel required.
  • Communication Skills: Ability to interact effectively with clients, colleagues, and regulatory bodies.
  • Problem-Solving Abilities: Capable of troubleshooting issues and finding solutions quickly.


Educational Background:

  • Bachelor’s degree in finance, business, economics, or a related field.
  • Series 7, 65 or 99 a plus
  • Bilingual (English/Spanish) required.


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