Operations Associate - Financial Services
linkedinMiami (FL)
About the role
We are seeking an operations associate with experience in the financial services industry to join our client's team! Operations Associate manages back-office functions that support trading, settlement, and regulatory compliance, such as reconciliations, trade confirmations, and money movement (ACH/wires). They ensure accurate processing of securities transactions, maintain client accounts, and uphold SEC/FINRA regulations.
Key Responsibilities:
Trade Processing & Settlement: Oversee the trade lifecycle, including trade confirmations, clearing, and settlement to ensure timely execution.
Compliance & Risk Management: Adhere to AML (Anti-Money Laundering) and KYC (Know Your Customer) protocols, monitor for unusual activity, and assist with internal/external audits.
Operational Support: Investigate trade breaks, resolve discrepancies, and support ACATS (Automated Customer Account Transfer Service) inquiries.
Client Services:
Assist with onboarding new clients from a funding perspective. Qualifications and Skills
Experience:
Previous experience in a broker-dealer or financial services operations environment.
Regulatory Knowledge: Familiarity with SEC and FINRA regulations.
Technical Skills:
Proficiency in MS Office (specifically Excel) and experience with industry-specific software or systems.
Soft Skills: Strong attention to detail, multitasking abilities, and communication skills.
Education:
Typically a bachelor's degree in finance, business, or a related field, though some roles may accept equivalent experience.
Before you apply
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A number in mind
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Your notice period
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Once you apply, someone reads it and calls you before anything reaches the employer — usually within two working days.
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