Operations Associate - Financial Services

We 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.