Brokerage Operations Specialist

Responsibilities

• Complete daily brokerage operations exception reports including unreconciled activity, margin, corporate actions, etc.
• Conduct quality control reviews and regulatory document delivery reconciliation

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Perform cashiering duties including verification of incoming wires, checks, ACHs and process withdrawal requests
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Provide ongoing account maintenance and review of new and existing account activity for risk mitigation related to AML

• Collaborate cross-functionally with other teams at the company, specifically creating strong relationships with engineers
• Certain in office tasks as the business requires

Requirements

• Minimum of 2 years brokerage industry experience preferably in a back office role
• Securities regulatory knowledge and strong understanding of account transfers, corporate actions/dividends, and trading
• Understanding of AML and risk mitigation rules
• Strong organizational skills
• Customer-centric business philosophy and collaborative mindset
• Ability to communicate cross-functionally
• Appreciation and understanding of applying technology and software to business processes
• Desire to improve processes to increase team efficiency and productivity
• Strong work ethic and hands-on approach
• Ability to quickly learn proprietary web-based account services applications
• Appreciation for compliance and adherence to government regulations
• Bachelor's degree in finance, economics, or related field or requisite related work experience
• FINRA Series 7 required (or ability to obtain in 90 days)