Finance Operations Associate

3 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.

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.

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