Operations and Compliance Specialist
3 weeks ago
WallachBeth Capital is a leading provider of institutional execution services, offering our clients a full spectrum of solutions to navigate complex markets.
We are seeking an operations/compliance professional to support our team in Boca Raton, Florida. This role will handle daily compliance functions and full lifecycle trade support, focusing on trade settlements, reconciliations, confirmations, and account openings.
Under direct supervision, you will use your knowledge and skills to provide support in specific activities within our compliance and operations team. You will follow established procedures to perform routine tasks and receive guidance to perform more complex work.
Key Responsibilities:
- Work closely with the Chief Compliance Officer to complete daily tasks.
- Perform timely and accurate recording and settlement of trades, resolving any discrepancies.
- Escalate new or unusual issues to a higher level.
- Ensure all trades are confirmed on trade date.
- Master our technology systems.
- Complete daily compliance/operational reporting & controls.
- Respond to queries within the current business day.
- Identify opportunities to enhance and improve efficiency in operations.
- Assist in researching trade problems and suggest corrective actions.
- Resolve trade issues.
- Update and maintain trade data and information in required databases.
- Operate and use required software applications.
Requirements:
- Bachelor's degree in Finance, Economics, or a related field.
- 2+ years of experience in the financial services industry.
- Working knowledge of operations and settlements.
- Series 7 and 63 desired.
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