Operations Associate
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Key Responsibilities
* Trade Processing & Settlement: Oversee the trade lifecycle, including trade confirmations, clearing, and settlement to ensure timely execution.
* Compliance & Risk Management: Adhere to AML (Anti-Money Laundering) and KYC (Know Your Customer) protocols, monitor for unusual activity, and assist with internal/external audits.
* Operational Support: Investigate trade breaks, resolve discrepancies, and support ACATS (Automated Customer Account Transfer Service) inquiries.
* Client Services: Assist with onboarding new clients from a funding perspective. Qualifications and Skills
*
Experience:
Previous experience in a broker-dealer or financial services operations environment.
* Regulatory Knowledge: Familiarity with SEC and FINRA regulations.
* Technical
Skills:
Proficiency in MS Office (specifically Excel) and experience with industry-specific software or systems.
* Soft
Skills:
Strong attention to detail, multitasking abilities, and communication skills.
*
Education:
Typically a bachelor's degree in finance, business, or a related field, though some roles may accept equivalent experience.
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