Broker-Dealer Operations Specialist

Phillip Capital Inc.; Dallas (TX); On-site; USD 90,000 - 130,000; Full time

Job summary

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.

Responsibilities

• 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.

Skills

Broker-dealer experience

Regulatory compliance

Attention to detail

Communication skills

Education

Series 7 license

Tools

SQL

Python

Excel

Power Automate

Job description

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.