Operations and Compliance Specialist

4 days ago


Boca Raton, Florida, United States WallachBeth Capital Full time

At WallachBeth Capital, we provide institutional execution services to our clients, offering a full spectrum of solutions to navigate complex markets.

We are seeking an operations/compliance professional to support our team in our Boca Raton office.

This role will handle daily compliance functions and full lifecycle trade support, with a focus on trade settlements, reconciliations, confirmations, and account openings.

As a member of a small team, you will work on various projects, using your knowledge and skills to provide support in specific activities within our compliance and operations team.

You will serve as a resource to both operations and compliance in resolving questions and problems, and will be responsible for:

  • Completing daily compliance/operational reporting & controls
  • Responding to all queries within the current business day
  • Identifying and progressing opportunities to enhance and improve efficiency in operations
  • Assisting in researching trade problems and suggesting corrective actions
  • Updating and maintaining trade data and information in required databases
  • Operating and using required software applications
  • Communicating effectively with associates and external customers
  • Being proficient in working with all aspects of Excel

We require a Bachelor's degree in Finance, Economics, or a related field, and ~2+ years of experience in the financial services industry, with a working knowledge of operations and settlements.



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