Compliance Specialist/Trade Operations
3 weeks ago
About the job Compliance Specialist/Trade Operations
Will be onsite/hybrid in Minneapolis
W2/USC only
Trade Operations/Compliance Specialist
- Licenses SIE, Series 7TO, Series 63. Series 24 or willingness to obtain (Series 57 also a plus but not required)
- Experience Trading Operations/Back Office Equities Institutional Brokerage experience preferred but not necessarily required
- Job Duties
- Assist Sales, Trading, Investment Banking personnel with the opening of new accounts primarily DVP but occasional cash/retail accounts
- Perform initial and ongoing CIP/AML reviews
- Interact with Clearing Broker and Order Management System (OMS) vendor
- Manage client account relationships and allocate trades daily
- Review and reconcile trade breaks and settlement issues
- Assist with onboarding T+1 settlement processes, policies and procedures
- Perform trade surveillance functions and exception report monitoring
- Prepare daily CAIS reporting files and assist with CAIS/CAT review and reconciliation
- Assist with Best Execution reviews prepare stats for Best Ex Committee
- Assist with vendor management and onsite FinTech management
- Create and maintain procedural documentation
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