Brokerage Clearing Specialist
Core
Ensure timely and accurate confirmation of trades, support regulatory reporting, and resolve trade breaks and exceptions across equities and fixed income.
Role type
Senior IC brokerage clearing specialist (P&S Operations)
Builds
Trade processing, reconciliation, and settlement workflows for US equities, mutual funds, ETFs, fixed income, and options.
Domain
Financial services / Post-trade operations
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Trade reconciliation, break investigation, regulatory reporting (SEC/FINRA/DTCC), fail management, buy-in knowledge (REGSHO), obligation warehouse monitoring, Series 99 certification, Series 7 license (or willingness to obtain within 6 months)
Preferred skills
Equity/Option product knowledge, familiarity with industry utilities (DTCC, NSCC, TRAQS, NASDAQ WORKX, TRAFIX)
Technologies
CNS, TRAQS, NASDAQ WORKX, TRAFIX
Responsibilities
Review, match, and confirm trade data from executing brokers and counterparties; Process equity and/or fixed income trade activity through clearing and settlement systems; Investigate and resolve trade discrepancies and breaks; Liaise with traders, prime brokers, custodians, and counterparties to resolve P&S issues; Monitor trade settlement cycles and assist in fail management; Generate daily and monthly reconciliation and exception reports.
Seniority
Mid-level, hands-on IC