Operations Associate

New York, NY

Posted: 12/20/2019 Industry: FIN Perm Job Number: 13004038

Job Description

We are currently poised for growth, are ramping up our existing trading operations team, and are looking to bring on operations professionals. Experience must include having worked at a clearing firm or in the P&S department of a self-clearing broker dealer.

Essential Functions:

Oversight and monitoring of the proprietary and customer trading activity

Responsible for daily settlements with DTC and NSCC, and reconciliation of bank accounts used by the firm

Assist the P&S department in resolving trade breaks with correspondents and trading accounts.

Respond to regulatory inquiries and compilation of all other regulatory monthly reporting

Closely monitoring the firms accounts for trading activity that appears unusual

Working closely with compliance and accounting areas on reconciling all trading activity

Help optimize all back-office processes and assist with trading projects related to process improvement

Senior Manager role will have management duties overseeing the operations team

All other duties as assigned


Bachelor's degree required, preferably in the areas of Finance or Accounting

Client Securities licenses Series 7 and/or Series 99

Knowledge and Skills:

A minimum of 5+ years of operations experience in a trading or brokerage environment

Proficient understanding of equities day trading is a plus

Analytical, quantitative mindset with a keen attention to detail

Meet Your Recruiter

Nick LaPetina

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