Broker-Dealer Operations Specialist

Ascendo Resources; Miami (FL); On-site; USD 90,000 - 130,000; Full time

Job summary

Ascendo Resources is seeking a Broker-Dealer Operations Specialist to join our Miami, FL operations team. The role covers end-to-end settlement, cash movements, and reconciliations across domestic and international markets, with a focus on accuracy and efficiency.

You will work with custodians and counterparties, maintain documentation, and drive automation improvements in collaboration with Technology. FINRA Series 99 or Series 7 eligibility is preferred; English and Spanish fluency is required.

Qualifications

• 5+ years in broker-dealer, securities, investment, banking, or asset-management operations.
• Hands-on experience with Pershing custody and/or settlement services.
• Strong knowledge of securities processing, settlement, cash movements, and reconciliations.
• FINRA Series 99, or an eligible Series 7 for Operations Professional exception.
• Fluent in English and Spanish (written and spoken).

Responsibilities

• Manage end-to-end settlement of proprietary and client transactions across U.S. and international markets.
• Process and monitor incoming/outgoing cash and securities transfers.
• Perform daily cash and position reconciliations against custodians and counterparties.
• Investigate and resolve settlement and reconciliation breaks.
• Maintain exchange-traded products (equities, fixed income, ETFs, mutual funds) in systems.
• Support mutual fund subscriptions and redemptions.
• Coordinate with custodians and counterparties.
• Maintain operational documentation and procedures.
• Identify repetitive/manual processes and collaborate with Technology on automation.
• Partner cross-functionally with Trading, Client Services, Compliance, Audit, and Technology.
• Provide operational backup and training to new team members.

Skills

Broker-dealer ops

Securities processing

Settlement

Reconciliations

Excel

Office/Google Workspace

English/Spanish

Education

Finance/Economics/Business-related degree

Tools

Pershing custody

Job description

Broker-Dealer Operations Specialist | Financial Services

A growing financial services organization is seeking an experienced Broker-Dealer Operations Specialist to join its Miami, FL operations team.

This is a hands‑on role for an operations professional with strong experience across trade settlement, securities and cash movements, reconciliations, custody operations, and transaction processing. The successful candidate will take ownership of critical operational workflows while helping improve and automate processes as the organization continues to scale.

Key Responsibilities

• Manage end‑to‑end settlement of proprietary and client transactions across U.S. and international markets.
• Process and monitor incoming/outgoing cash and securities transfers, including asset movements.
• Perform daily cash and position reconciliations against custodians and counterparties.
• Investigate and resolve settlement and reconciliation breaks.
• Maintain exchange‑traded products, including equities, fixed income securities, ETFs, and mutual funds, within operational systems.
• Support mutual fund subscriptions and redemptions.
• Coordinate closely with custodians and counterparties.
• Maintain accurate operational documentation and procedures.
• Identify repetitive/manual processes and collaborate with Technology on automation and workflow improvements.
• Partner cross‑functionally with Trading, Client Services, Compliance, Audit, and Technology.
• Provide operational backup and support training of new team members.

Desired Background:

• 5+ years of experience in broker‑dealer, securities, investment, banking, or asset‑management operations.
• Hands‑on experience with Pershing custody and/or settlement services.
• Strong knowledge of securities processing, settlement, cash movements, and reconciliations.
• FINRA Series 99, or an eligible registration such as Series 7 that qualifies for the Operations Professional exception.
• Strong Excel and general Microsoft Office/Google Workspace capabilities.
• Professional fluency in English and Spanish, written and spoken.
• Degree or relevant academic background in Finance, Economics, Business Administration, Accounting, Engineering, or a related discipline.

Broker-Dealer Operations | Pershing | Securities Operations | Trade Settlement | Reconciliations | Asset Transfers | Cash Operations | FINRA | Series 99 (or Series 7) | Excel | English/Spanish