Brokerage Operations Specialist

This is a fully remote position, open to applicants in California.

📋 Description

• Execute daily exception reports for brokerage operations, encompassing unreconciled activities, margin issues, corporate actions, and more.

• Carry out quality control assessments and ensure reconciliation of regulatory document deliveries.

• Undertake cashiering responsibilities, including the verification of incoming wires, checks, ACH transactions, and processing withdrawal requests.

• Maintain ongoing account oversight and review both new and existing account activities to mitigate risks associated with AML.

• Foster collaboration across various teams within the organization, particularly by building strong relationships with engineers.

• Perform specific in-office tasks as required by the business.

⛳️ Requirements

• A minimum of 2 years of experience in the brokerage industry, preferably in a back-office position.

• Knowledge of securities regulations along with a solid understanding of account transfers, corporate actions/dividends, and trading practices.

• Familiarity with AML regulations and risk mitigation strategies.

• Excellent organizational skills.

• A customer-centric approach and a collaborative mindset.

• Capability to communicate effectively across different functions.

• An appreciation for the integration of technology and software into business processes.

• A motivation to enhance processes to boost team efficiency and productivity.

• A strong work ethic coupled with a proactive hands-on approach.

• Quick adaptation to proprietary web-based account services applications.

• A commitment to compliance and adherence to governmental regulations.

• A bachelor's degree in finance, economics, or a related field, or equivalent relevant work experience.

• FINRA Series 7 is mandatory (or the ability to obtain it within 90 days).

🏝️ Benefits

• Competitive salary.

• Health insurance.

• Flexible work hours.

• Professional development budget.