Operations and Compliance Specialist

3 weeks ago


Boca Raton, Florida, United States WallachBeth Capital Full time

WallachBeth Capital is a leading provider of institutional execution services, offering our clients a full spectrum of solutions to help them navigate complex markets.

We are seeking a skilled operations and compliance professional to join our team in our Boca Raton office. This role will handle daily compliance functions and full lifecycle trade support with an emphasis on trade settlements, reconciliations, confirmations, and account openings.

The ideal candidate will have a strong understanding of operations and settlements, as well as excellent analytical and problem-solving skills. They will work closely with the Chief Compliance Officer to complete daily tasks and ensure all trades are confirmed on trade date.

Key Responsibilities:

  • Perform timely and accurate recording and settlement of trades; resolve any trade discrepancies.
  • Escalate new or unusual issues to a higher level.
  • Master the firm's technology systems.
  • Complete daily compliance/operational reporting & controls.
  • Respond to all queries within the current business day.
  • Proactively identify and progress opportunities to enhance and improve efficiency in operations.
  • Assist in researching trade problems and suggest appropriate 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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