Trading Operations Specialist

We are seeking a Trading Operations Specialist candidate who will be responsible for day-to-day operations of broker-dealer operations.

Responsibilities

• Coordinate and execute trade settlement process for client accounts


• Communicate with clients and resolve any trade-related inquiries or issues


• Maintain accurate client records and ensure compliance with regulatory requirements


• Review and reconcile account statements, ensuring accuracy of transactions


• Assist in the onboarding process for new clients, including account setup and documentation


• Work closely with the compliance team to ensure adherence to industry regulations


• Assist in the preparation and submission of regulatory reports


• Monitor and analyze trading activities, identifying any potential risks or anomalies


• Collaborate with internal teams to improve operational processes and efficiency


• Provide exceptional support to clients, answering any questions or resolving any issues in a timely manner

Qualifications

• 2+ years of trading operations experience


• Solid understanding of trade settlement processes and industry regulations


• Excellent attention to detail and strong analytical skills


• Proficient in using financial software and Microsoft Office Suite and NetX360


• Strong written and verbal communication skills


• Ability to work independently and meet tight deadlines


• Strong problem-solving and decision-making abilities Highly organized and capable of multitasking


• FINRA licenses SIE, Series 99, and or Series 7


• Bilingual Spanish and English