Operations Associate - Financial Services
leeds professional resourcesFort Lauderdale, FL
Operations Associate - Financial Services
L4
leeds professional resourcesFort Lauderdale, FL2 days ago
Occupations
Brokerage ClerksFinancial Clerks, All OtherSecurities, Commodities, and Financial Services Sales AgentsIndustries
Investment Banking and Securities IntermediationMiscellaneous IntermediationMiscellaneous Financial Investment ActivitiesWe are seeking an operations associate with experience in the financial services industry to join our client's team! Operations Associate manages back-office functions that support trading, settlement, and regulatory compliance, such as reconciliations, trade confirmations, and money movement (ACH/wires). They ensure accurate processing of securities transactions, maintain client accounts, and uphold SEC/FINRA regulations.
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.
Apply now
Level
MidL4
Location
Fort Lauderdale, FL
Occupation
Brokerage Clerks
Industry
Investment Banking and Securities Intermediation
Posted
2 days ago
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