Senior Broker Dealer Operations

Posted 5 days ago

ascendo resourcesMiami Springs (FL)

SENIORITY

Senior

About the role

We are seeking a Senior Broker Dealer Operations candidate who will be responsible for day-to-day operations of broker-dealeroperations.

Responsibilities:

Coordinate and execute trade settlement process for client accounts
Communicate with clients and resolve any trade-related inquiries or issues
Maintain accurate client records and ensure compliance with regulatory requirements
Review and reconcile account statements, ensuring accuracy of transactions
Assist in the onboarding process for new clients, including account setup and documentation
Work closely with the compliance team to ensure adherence to industry regulations
Assist in the preparation and submission of regulatory reports
Monitor and analyze trading activities, identifying any potential risks or anomalies
Collaborate with internal teams to improve operational processes and efficiency
Provide exceptional support to clients, answering any questions or resolving any issues in a timely manner

Qualifications:

5+ years of broker-dealer operations experience
Solid understanding of trade settlement processes and industry regulations
Excellent attention to detail and strong analytical skills
Proficient in using financial software and Microsoft Office Suite and NetX360Strong written and verbal communication skills
Ability to work independently and meet tight deadlines
Strong problem-solving and decision-making abilities Highly organized and capable of multitaskingFINRA licenses SIE, Series 99, and or Series 7Bilingual Spanish and English

Applying takes about a minute. These four things decide how fast it moves after that.

Your profile is current

It's what we read first. Occupations, seniority and locations matter more than a long history.

Two examples you can talk through

Not a portfolio — just two pieces of work where you can explain the decisions and what you'd change.

A number in mind

What you're on now and what would make you move. We negotiate better when we know both.

Your notice period

Employers plan around it, and it's the question that stalls offers most often.

Once you apply, someone reads it and calls you before anything reaches the employer — usually within two working days.