Trading & Asset Servicing Operations Specialist (Series 7/57 preferred), Assistant Vice President
Core
Support end-to-end trade lifecycle execution, asset servicing, and corporate actions processing for an introducing broker-dealer platform.
Role type
Senior IC trading & asset servicing operations specialist
Builds
Accurate trade settlements, corporate action distributions, and operational controls for multi-asset classes
Domain
Financial services / Wealth management / Broker-dealer operations
Required skills
Trade lifecycle management, corporate actions processing, exception handling, multi-asset class operations, regulatory reporting, vendor/clearing firm coordination, reconciliation, time-sensitive workflow management
Preferred skills
Introducing broker-dealer model experience, Apex clearing firm relationships, Series 7/57 licenses, Salesforce proficiency, AI-enabled workflow adoption
Technologies
Salesforce, middle-layer platforms, CAT reporting systems, Rule 606 reporting tools
Responsibilities
Support end-to-end trade lifecycle execution including allocations, booking, and exception management; Execute asset servicing and corporate actions processing; Identify and escalate trade breaks and operational discrepancies; Partner with Client Service to resolve advisor-facing trading inquiries; Coordinate with cross-functional teams (Cashiering, Account Operations, Transfers); Support regulatory reporting (CAT, Rule 606) and audit readiness; Leverage automation and AI workflows to improve efficiency
Seniority
Senior, hands-on IC
