Senior Associate, Trading Operations (Broker Dealer)
Core
Execute daily trade operations workflows including cash, position, and trade reconciliations, ensuring operational procedures and risk controls are followed and properly documented.
Role type
Senior Associate, Trading Operations (Broker Dealer)
Builds
Accurate settlement of trades and client allocations; maintains integrity of positions, cash balances, and broker/clearing data across firm systems.
Domain
Financial Services / Broker-Dealer / Crypto & Web3
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure
Required skills
Trade reconciliation, cash and position management, corporate action processing, regulatory reporting, trade surveillance support, audit support, process improvement, risk control documentation, data analysis, system navigation
Preferred skills
FINRA Series 7, FINRA Series 63
Technologies
Excel, Google Sheets, SQL, trading and clearing systems
Responsibilities
Execute daily trade operations workflows including cash, position, and trade reconciliations; ensure timely, accurate settlement of trades and client allocations; investigate and resolve trade breaks; monitor and process mandatory and voluntary corporate action events; support account maintenance and review of new and existing account activity for trading eligibility; partner with Compliance, Finance, Product and Engineering teams to support regulatory reporting, trade surveillance, and system enhancements; identify and escalate operational risk issues; support internal audits, regulatory exams, and control testing related to trade operations
Seniority
Senior, hands-on IC