Broker Dealer Operations Associate

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Seeking an experienced and highly organized operations associate to join our Broker Dealer operations team.

Company Information:
  • New York-based Asset Management Firm
  • Over $20 Billion in AUM

Job Description:
  • Working with clearing brokers and counterparties to resolve trade breaks
  • Daily and month end reconciliation of positions, cash and P&L versus brokers and admin
  • Ensuring that trading systems utilize reconciled information and that all operational procedures and risk controls are set
  • Monitoring and resolving locates and potential buy-ins
  • Analyzing and processing corporate actions
  • Identifying opportunities to build new tools and improve existing process flows and controls
  • Supporting trading desks
  • Coordinating various processes and projects with the Accounting, Legal, Technology and Compliance teams
  • Assisting with the onboarding of new strategies and business initiatives

Requirements / Qualifications:
  • Bachelor’s degree in a related field with a strong academic record
  • 2-5 years of operations experience at a broker dealer or asset management firm
  • Experience with settlement processes for equities (domestic and international), options, futures and swap products
  • Ability to understand technological workflows across several platforms
  • Strong multitasking ability and attention to detail
  • Proficiency with MS Office products, particularly Excel
  • Understanding of risk management as it relates to trade support and trade execution
  • Demonstrated reliability, judgment and responsibility
  • Excellent written and verbal communication skills
  • Series 7 or 99 license is preferred

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