Job Description

About the Role:

We are seeking a versatile and experienced Operations Associate to join our growing team. This individual will be cross-trained across all areas of operations, including settlements, corporate actions, reconciliations, and operational controls. As the third hire within the operations team, this role offers a unique opportunity to gain broad exposure to a self-clearing broker-dealer environment and contribute to a highly dynamic, hands-on team.

Key Responsibilities:

• Ensure accurate and timely processing of trade capture, trade allocations, and settlements across equities, options, and fixed income.
• Perform daily trade reconciliations, bank reconciliations, and internal operational audits to mitigate risk and ensure financial accuracy.
• Oversee voluntary and mandatory corporate actions, ensuring proper entitlements and allocations.
• Work with DTC, banking systems, and clearing platforms to manage transactions and cash movements.
• Utilize core clearing systems such as InteliClear (preferred) to support back-office operations.
• Maintain compliance with broker-dealer regulations, with a minimum Series 99 license required.
• Work closely with colleagues to develop expertise across all operational areas, ensuring seamless support across the firm.

Qualifications:

• Must hold a Series 99 license (or comparable FINRA certification).
• Minimum of 7 years of back-office operations experience at a small broker-dealer or clearing firm.
• Strong knowledge of settlements, corporate actions, reconciliations, and operational controls.
• Experience with equities, options, and fixed income products.
• Proficiency with DTC and banking systems; experience with InteliClear is a plus.
• Detail-oriented with strong analytical and problem-solving skills.
• Ability to thrive in a hands-on, fast-paced environment.

Why Join Us?

• Small, collaborative team environment.
• 90% self-clearing model – unique exposure to broker-dealer operations.
• Hybrid work schedule (2 days in office).
• Competitive benefits package, including fully covered health insurance and a 401(k) with company match.
• Offices in the U.S., Asia, and Australia—offering global exposure.

This is a fantastic opportunity to grow within a fast-moving broker-dealer while developing expertise in multiple areas of operations. If you’re a versatile, hands-on operations professional looking for a broad and impactful role, we encourage you to apply!

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