leeds professional resourcesFort Lauderdale, FL
Operations Associate - Financial Services
Operations Associate - Financial Services
Operations Associate - Financial Services
leeds professional resourcesFort Lauderdale, FL
2 days ago
Brokerage ClerksFinancial Clerks, All OtherSecurities, Commodities, and Financial Services Sales Agents
Investment Banking and Securities IntermediationMiscellaneous IntermediationMiscellaneous Financial Investment Activities
Apply for this role →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.
Also on the board Same function, level within a rung
Level
Mid
Location
Fort Lauderdale, FL
Occupation
Brokerage Clerks
Industry
Investment Banking and Securities Intermediation
Posted
2 days ago