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Job description
Process and reconcile daily trade settlements, ensuring accuracy between trade blotters, custodians, and clearing firms
Monitor and resolve trade breaks, failed trades, and settlement discrepancies in a timely manner
Assist with account opening, maintenance, and closing procedures, ensuring all documentation meets regulatory and firm requirements
Support corporate actions processing, including dividends, stock splits, mergers, and tender offers
Maintain accurate records for cash management, margin requirements, and position reconciliation
Assist in preparing regulatory filings and reports (e.g., FINRA, SEC) as required
Liaise with custodians, clearing firms, and external vendors to resolve operational issues
Support audits and compliance reviews by providing documentation and operational data
Identify opportunities to improve operational workflows and reduce manual errors
Maintain up-to-date knowledge of industry regulations affecting broker-dealer operations
Qualifications:
Bachelor's degree in Finance, Business, Accounting, or related field
5+ years of experience in broker-dealer operations, securities operations, or a related back-office role
Familiarity with trade settlement processes, clearing systems, and custodial relationships
Working knowledge of FINRA, SEC, and other relevant regulatory frameworks
Strong attention to detail and ability to manage multiple tasks under tight deadlines
Proficiency in Excel and operations/trading platforms (e.g., Bloomberg, DTCC systems)
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Worksite address
fort lauderdale, FL, 33336, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.