Broker Dealer Operations

Phillip Capital Inc.; Dallas (TX); Sur place; USD 90 000 - 130 000; Plein temps

Résumé du poste

Phillip Capital Inc., located in Chicago, is seeking hands-on Broker Dealer Operations professionals at all levels to help expand trading, clearing, and custody services for professional traders and institutions.

This role emphasizes building scalable processes, ensuring regulatory compliance with FINRA/SEC/OCC, and collaborating with front office, compliance, and technology teams to deliver operational excellence.

Qualifications

• 5+ years’ experience in a self-clearing broker-dealer focused on securities and options.
• Series 7 license required.
• Strong knowledge of SEC, FINRA, and OCC rules.
• Proficiency with Microsoft Excel and Office.
• Experience with audits and regulatory compliance.

Responsabilités

• Assist with expansion of securities and options trading, clearing, and custody offering.
• Execute daily clearing, settlement, pledging, and position transfers.
• Identify and resolve trade settlement breaks.
• Collaborate with front office, compliance, and technology teams.
• Support audits and documentation for new products.

Connaissances

Broker-dealer experience

Regulatory compliance

Attention to detail

Communication skills

Formation

Series 7 license

Outils

SQL

Python

Excel

Power Automate

Description du poste

We’re Hiring – Broker Dealer Operations professionals – all levels – Associate up to Manager!

Phillip Capital Inc., located in Chicago, is dually registered with the SEC/FINRA as a self-clearing broker dealer and the Commodity Futures Trading Commission (CFTC) as a registered Futures Commission Merchant (FCM) serving professional traders and institutions with customized clearing, custody and global market access solutions.

What We Offer

We provide an environment where you can grow your skills and make meaningful, visible contributions to your team and the broader organization. Our culture is built on integrity, accountability, open communication, and continuous improvement, with a focus on building for the long term.

About the Role

We are seeking highly motivated, hands‑on Broker Dealer Operations professionals at all levels to work within our team to execute core operational functions. This role is ideal for someone who thrives in a “roll‑up‑your‑sleeves” environment, where building, improving, and directly managing processes is essential. This individual will play a critical role in ensuring operational excellence, regulatory compliance, and scalable infrastructure as the firm grows.

What You Will Do (responsibilities may vary by level)

• Assist with the expansion of the securities and options trading, clearing, and custody offering to new and existing clients, with a focus on custodian services, operating and supervisory procedures, and daily reconciliations.
• Execute daily tasks related to clearing, settlement, pledging, exercise & assignment, expiration processing, corporate actions, and position transfers.
• Domain expertise to identify, analyze, and resolve securities and option trade settlement breaks.
• Collaborate with front office, compliance, and technology teams.
• Maintain adherence to regulatory requirements (FINRA, OCC, SEC, DTCC etc.).
• Assist in periodic internal and external audit examinations.
• Process creation, improvement, documentation, validation, and research related to new products.

Qualifications

• 5+ years’ experience in a self-clearing broker-dealer with focus around securities and options.
• Series 7 required.
• Knowledge of Regulation T, FINRA Rule 4210, SEC Rule 15c3-3, and 15c3-1, Rule 6.
• Strong analytical skills and ability to recognize and mitigate issues with process and tools.
• Strong knowledge of SEC, FINRA, and OCC rules and regulations.
• A strong level of proficiency in Microsoft Office products, especially Excel.
• Ability to efficiently handle a multitude of tasks while maintaining a low error rate.
• Working experience with SQL, Python, Power Automate or other no/low-code solutions preferred.
• Strong attention to detail, time management, and solid communication/organization skills.
• Absolute integrity and ability to recognize and learn from mistakes.

Phillip Capital Inc. will not consider candidates sent by recruiters for this position.