Consultant, Capital Markets Operations
Core
Perform capital markets asset servicing operations including cashiering, asset movement, DRS/DWAC transfers, and alternative investments servicing for institutional and wealth brokerage clients.
Role type
Capital Markets Operations Consultant
Builds
Accurate and timely asset servicing lifecycle and operational work for brokerage clients
Domain
Financial Services / Capital Markets Operations
Required skills
Brokerage operations knowledge, Asset servicing, Settlement and reconciliation, Operational risk awareness, Regulatory compliance, Analytical skills, Process improvement
Preferred skills
FINRA licenses 7 and 63, Ability to obtain FINRA licenses 99, 7, or 63 within 90 days
Technologies
Brokerage systems, DRS/DWAC transfer systems
Responsibilities
Process asset movements and transfers, Analyze transaction and settlement data to resolve issues, Monitor processing timelines and control requirements, Identify workflow improvement opportunities, Provide informal guidance to newer team members
Seniority
Mid-level, hands-on IC