Sr. Ops Margin Specialist
Core
Daily monitoring and maintenance of margin call activity, debit balances, and trade-related items within brokerage accounts, ensuring compliance with firm and regulatory guidelines.
Role type
Senior Operations Specialist (Risk & Compliance)
Builds
Risk-based reports and regulatory compliance enforcement for brokerage accounts
Domain
Financial Services / Brokerage Operations
Deliverable
dashboards & analysis
Required skills
Margin regulatory guidelines knowledge, risk-based reporting, trade reconciliation, options and regulatory violation analysis, buy-ins and trade corrections, short position and debit resolution, cross-functional communication, deadline management
Preferred skills
Margins or Operations experience, BETA platform understanding, data and reporting analysis, financial instrument experience (equities, fixed income, CDs), Microsoft Excel and Access proficiency, FINRA SIE/Series 7/99 certification
Technologies
BETA, Microsoft Excel, Microsoft Access
Responsibilities
Monitor and reconcile margin calls and debit balances; resolve escalations and enforce regulatory guidelines; analyze risk reports and initiate trade corrections; interact with advisors and management to meet regulatory deadlines.
Seniority
Senior, hands-on IC
