What you'll be doing:
Help setup and oversee day to day operations of a soon to be launched broker dealer.
Prepare and manage various application processes from start to finish.
Daily trade break reconciliation.
Drive automation of operational processes and reporting
Participate in audit preparation
Analyze and manage improvements in front to back trade flow following the life cycle of a trade.
Supporting management to identify and manage operational risks
Liaising with settlements /clearing vendors on an ad-hoc basis, and conducting periodic reviews of the firm's settlements servicing
Skills & Experience:
5 - 8 years experience in broker dealer operations
Proven experience in overseeing broker dealer operations, preferably in retail facing applications.
Extensive knowledge of the full end to end trade lifecycle.
Must operate with a high sense of urgency and know how to execute.
Excellent Microsoft Excel skills.
Detailed understanding of securities rules and regulatory reporting, specifically pertaining to OATS, CAT & Rule 606.
Attention to detail and the ability to absorb and retain information quickly.
A strong team player with the agility to manoeuvre between managerial responsibilities and ad-hoc day to day coverage of the Operations department
Must have Bachelor's degree or higher
Series 7 & 99 required
Nice to have:
Experience working with a clearing firm as an introducing broker.
Additional asset class experience.
Fintech payments or treasury operations.
Familiarity with KYC/AML