Job Description:
This position will involve various tasks that are used to mitigate firm and client risk. Primary responsibility is the processing and resolution of settlement instructions, inventory management, and break resolution. The position is also responsible for backing up bond conversions and physical settlements. There will be daily interaction via email and phone with trading desks, trade support teams, contra brokers, and business support teams. Daily work will involve managing email traffic, in the form of trade instructions requests, inventory management, and desk communications, along with supporting daily processes and working to resolve all breaks reported to the team in a timely manner. A variety of systems, both web-based and mainframe, will be used in the course of the day.
Requirements
Solid oral & written communication skills
Detail Oriented with strong time management and prioritization skills
Ability to multitask in a high volume/fast paced environment and meet tight deadlines
Ability to manage escalations and solve complex issues
Ability to independently manage small and medium sized projects
Ability to work in a team environment
Ability to learn and understand FINRA, SEC and other Regulatory rules
Desired Skills
College degree, line of study relevant to job role preferred
2-5 years minimum related brokerage operations experience
Experience with Reg S/ 144A Conversions
Knowledge of trade lifecycle or stock market
Understanding of Risk & Control issues
Strong Excel Skills
Strong motivation to succeed
Job Band:
H6
Shift:
1st shift (United States of America)
Hours Per Week:
40
Weekly Schedule:
Referral Bonus Amount:
0